DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Highpoint Advisor Group, LLC

Former SEC-registered adviserDowners Grove, IllinoisCRD 163768SEC 801-76675IAPD
Latest filing Sep 29, 2021
First filing on the tape May 4, 2012 · 54 filings
RAUM
$2.7B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$2.6B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
100
100 advisory (5.B.1)
Offices
41
beyond the principal office
Private funds
0
reported on Schedule D
History
54 filings and snapshots on the tape
RAUM$2.7B as of Mar 30, 2021
Mar 1, 2013$224M then
HNW client RAUM$1.8B as of Mar 30, 2021
Mar 29, 2018$1.1B then
State-registered IARs (5.B.3)100 as of Mar 30, 2021
Mar 1, 201312 then
Employees (5.A)100 as of Mar 30, 2021
Mar 1, 201321 then
Private funds: no history
RAUM +21% over the last fiscal year-2.5% a year over threeIARs 81 to 100offices 39 to 41
Practice profile
derived from the filing of Sep 29, 2021; every figure names its basis
RAUM per advisor
$27.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
71derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$765,645derivedHNW RAUM over HNW clients
Average account
$380,424derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.4derived42 offices incl. principal (1.F.5)
RAUM growth, one year
+21%derivedbetween the last two annual amendments
Advisor growth, one year
+23%derivedItem 5.B.3 between annual amendments
Client growth, one year
+6.7%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
Wrap fee program
$2.1BreportedItem 5.I
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$1.8B64%
  • Individuals$881M32%
  • Pension and profit-sharing plans$46.5M1.7%
  • Corporations and businesses$42.8M1.6%
  • Charitable organizations$4.4M0.2%
Individual clients
4,783reported
HNW clients
2,305reported
Pension plan clients
46reported
Charitable clients
20reported
Accounts
7,201reported
Financial planning clients
51-100reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Michelle Jamie Calandriello · Chief Compliance Officercontrol
    since 03/2019 · owns less than 5%
  • Anthony Martin Campbell · Partnercontrol
    since 05/2016 · owns 50% to 75%
  • Faris Craig Ibrahim · Partnercontrol
    since 05/2016 · owns less than 5%
  • Anthony Martin Campbell · Managing Membercontrol
    since 09/2021 · owns 50% to 75% of Highpoint Holdings, LLC
  • David Joshua Gerry · Managing Membercontrol
    since 09/2021 · owns 25% to 50% of Pwa Advisor Holdings Inc.
  • Faris Craig Ibrahim · Managing Membercontrol
    since 09/2021 · owns 50% to 75% of Highpoint Holdings, LLC
  • M. Stephen Potts · Managing Membercontrol
    since 09/2021 · owns 25% to 50% of Pwa Advisor Holdings Inc.
  • M Peter Wilmot · Managing Membercontrol
    since 09/2021 · owns 25% to 50% of Pwa Advisor Holdings Inc.
Entity owners
  • Hppw LLC · Managing Member
    direct · owns 75% or more
  • Highpoint Holdings, LLC · Managing Member
    indirect · owns 25% to 50% of Hppw LLC
  • Pwa Advisor Holdings Inc. · Managing Member
    indirect · owns 50% to 75% of Hppw LLC
Related persons
Schedule D 7.A
  • Charles Ridgeley Pue Brown III
    investment advisern
  • Richard Lloyd Jr., Richard Lloyd III
    insurancen
  • Russell Warye
    real estaten
  • Stephen Franzen, Gregory Benner, Michael Bellis, Bradley Schaffnit
    insurancen
Offices
Schedule D 1.F, the 25 largest
  • St. Charles, IL14 employees
  • Downers Grove, IL11 employees
  • Downers Grove, IL11 employees
  • Manteno, IL5 employees
  • Orland Park, IL5 employees
  • Naperville, IL5 employees
  • Downers Grove, IL4 employees
  • Wheaton, IL4 employees
  • Orland Park, IL3 employees
  • Chicago, IL3 employees
  • Troy, MI3 employees
  • Libertyville, IL3 employees
  • Oak Park, IL2 employees
  • Oakbrook Terrace, IL2 employees
  • Barrington, IL2 employees
  • Naperville, IL2 employees
  • Grayslake, IL2 employees
  • Irvine, CA2 employees
  • Troy, MI1 employees
  • Morris, IL1 employees
  • Morton, IL1 employees
  • , 1 employees
  • Naperville, IL1 employees
  • Kenilworth, IL1 employees
  • Orland Park, IL1 employees
What changed
consecutive filings, newest first
  • Organization form · Corporation to Limited Liability Company
    May 24, 2021 to Sep 29, 2021
  • Succession · false to true
    May 24, 2021 to Sep 29, 2021
  • Accounts · 6,728 to 7,201
    Jul 2, 2020 to Mar 30, 2021
  • Advisory employees · 81 to 100
    Jul 2, 2020 to Mar 30, 2021
  • BD registered reps · 74 to 91
    Jul 2, 2020 to Mar 30, 2021
  • Charity clients · 15 to 20
    Jul 2, 2020 to Mar 30, 2021
  • Corporate clients · 32 to 47
    Jul 2, 2020 to Mar 30, 2021
  • HNW clients · 2,035 to 2,305
    Jul 2, 2020 to Mar 30, 2021
  • Individual clients · 4,607 to 4,783
    Jul 2, 2020 to Mar 30, 2021
  • Pension plan clients · 35 to 46
    Jul 2, 2020 to Mar 30, 2021
  • Employees · 81 to 100
    Jul 2, 2020 to Mar 30, 2021
  • State-registered IARs · 81 to 100
    Jul 2, 2020 to Mar 30, 2021
  • Other offices · 39 to 41
    Jul 2, 2020 to Mar 30, 2021
  • Organization form · Limited Liability Company to Corporation
    Jul 2, 2020 to Mar 30, 2021
  • Discretionary RAUM · $2.3B to $2.7B
    Jul 2, 2020 to Mar 30, 2021
  • HNW RAUM · $1.4B to $1.8B
    Jul 2, 2020 to Mar 30, 2021
  • Individual RAUM · $776M to $881M
    Jul 2, 2020 to Mar 30, 2021
  • Pension RAUM · $45.9M to $46.5M
    Jul 2, 2020 to Mar 30, 2021
  • RAUM · $2.3B to $2.7B
    Jul 2, 2020 to Mar 30, 2021
  • Wrap assets (manager) · $109M to $0
    Jul 2, 2020 to Mar 30, 2021
  • Accounts · 6,315 to 6,728
    Oct 15, 2019 to Mar 30, 2020
  • Advisory employees · 80 to 81
    Oct 15, 2019 to Mar 30, 2020
  • Advisory activities · 5 to 6
    Oct 15, 2019 to Mar 30, 2020
  • BD registered reps · 71 to 74
    Oct 15, 2019 to Mar 30, 2020
  • Charity clients · 26 to 15
    Oct 15, 2019 to Mar 30, 2020
  • HNW clients · 1,878 to 2,035
    Oct 15, 2019 to Mar 30, 2020
  • Individual clients · 4,330 to 4,607
    Oct 15, 2019 to Mar 30, 2020
  • Pension plan clients · 49 to 35
    Oct 15, 2019 to Mar 30, 2020
  • Employees · 87 to 81
    Oct 15, 2019 to Mar 30, 2020
  • State-registered IARs · 79 to 81
    Oct 15, 2019 to Mar 30, 2020
  • Discretionary RAUM · $1.9B to $2.3B
    Oct 15, 2019 to Mar 30, 2020
  • HNW RAUM · $1.1B to $1.4B
    Oct 15, 2019 to Mar 30, 2020
  • Individual RAUM · $773M to $776M
    Oct 15, 2019 to Mar 30, 2020
  • Pension RAUM · $40.7M to $45.9M
    Oct 15, 2019 to Mar 30, 2020
  • RAUM · $1.9B to $2.3B
    Oct 15, 2019 to Mar 30, 2020
  • Wrap assets (manager) · $126M to $109M
    Oct 15, 2019 to Mar 30, 2020
  • Other offices · 38 to 39
    Mar 30, 2019 to Oct 15, 2019
  • Accounts · 8,887 to 6,315
    Aug 27, 2018 to Mar 30, 2019
  • Advisory employees · 78 to 80
    Aug 27, 2018 to Mar 30, 2019
  • BD registered reps · 72 to 71
    Aug 27, 2018 to Mar 30, 2019
Signals
8 dated events
  • Highpoint Advisor Group, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Sep 29, 2021 · Succession (Item 4) · fact
  • M Peter Wilmot (Managing Member) appeared on Schedule A of Highpoint Advisor Group, Llc
    Sep 29, 2021 · Control person joined · fact
  • David Joshua Gerry (Managing Member) appeared on Schedule A of Highpoint Advisor Group, Llc
    Sep 29, 2021 · Control person joined · fact
  • M. Stephen Potts (Managing Member) appeared on Schedule A of Highpoint Advisor Group, Llc
    Sep 29, 2021 · Control person joined · fact
  • Highpoint Advisor Group, Llc reported 100 state-registered advisory representatives, up from 81 (2020-07-02 to 2021-03-30)
    Mar 30, 2021 · Advisor headcount change · derived
  • Highpoint Advisor Group, Llc reported RAUM $1.9B, down 34% from $3.0B (2018-08-27 to 2019-03-30)
    Mar 30, 2019 · RAUM change · derived
  • Highpoint Advisor Group, Llc reported 35 offices beyond its principal office, up from 30 (2018-03-29 to 2018-08-27)
    Aug 27, 2018 · Office count change · derived
  • Highpoint Advisor Group, Llc reported RAUM $3.0B, up 59% from $1.9B (2018-01-10 to 2018-03-29)
    Mar 29, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026