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.
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SEC-registered adviser
I•••••••• W••••• A•••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Sep 17, 2012 · 44 filings
SEC status approved since Oct 16, 2012
RAUM
$1.4B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$1.4B individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$139M
derived; firm RAUM over IAPD count
Employees
12
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
44 filings and snapshots on the tape
RAUM$1.4B as of Mar 27, 2026
Jan 22, 2013$301M then
HNW client RAUM$1.3B as of Mar 27, 2026
Mar 13, 2018$330M then
State-registered IARs (5.B.3)9 as of Mar 27, 2026
Jan 22, 20135 then
Employees (5.A)12 as of Mar 27, 2026
Jan 22, 20135 then
Private funds: no history
RAUM +13% over the last fiscal year+15% a year over threeIARs 9 to 9
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $139MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 92derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $518,913derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 5.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $1.4BreportedItem 5.I
- Custody
- $1.1B, 813 clientsreportedItem 9.A
- 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
- is an insurance broker or agent (6.A.6)
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.3B91%
- Individuals$98.8M7.1%
- Pension and profit-sharing plans$29.5M2.1%
- Individual clients
- 492reported
- HNW clients
- 428reported
- Pension plan clients
- 35reported
- Charitable clients
- n/areported
- Accounts
- 2,687reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $1.1B for 813 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• H••••••• K•••Certified Financial Planner | L•••••••••, Il | Oct 16, 2012 | 34 y | 3 |
| M••• D•••• H•••••••Certified Financial Planner | L•••••••••, Il | Oct 16, 2012 | 27 y | 3 |
| R•••••• A••• Y•••• | Noblesville, In | Oct 16, 2012 | 30 y | 4 |
| N••• A•••• S•••••••••Certified Financial Planner | Naples, Fl | Oct 16, 2012 | 35 y | 1 |
| M•••• E••••• H••••Certified Financial Planner | L•••••••••, Il | Oct 17, 2012 | 24 y | 1 |
| E•••• L•• B••••••Certified Financial Planner | L•••••••••, Il | Nov 11, 2014 | 22 y | 2 |
| R•••••• H••••••• K•••Certified Financial Planner | Libertyville, Il | Aug 31, 2018 | 10 y | 0 |
| P•••• D•••• K•••Certified Financial Planner | L•••••••••, Il | Sep 15, 2021 | 15 y | 0 |
| D••••• M•••••• K••• | L•••••••••, Il | Apr 7, 2025 | 10 y | 0 |
| R••• S• G••••• | L•••••••••, Il | Aug 28, 2026 | 10 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- E•••• L•• B•••••• from S•••••••• A••••••• L••Nov 11, 2014 · Other
- M•••• E••••• H•••• from L•• F•••••••• L••Oct 17, 2012 · Other
- N••• A•••• S••••••••• from L•• F•••••••• L••Oct 16, 2012 · Other
- R•••••• A••• Y•••• from L••••••••• F•••••••• G••••• L•••Oct 16, 2012 · Other
- R•••••• H••••••• K••• from L••••••••• F•••••••• G••••• L•••Oct 16, 2012 · Other
- M••• D•••• H••••••• from L••••••••• F•••••••• G••••• L•••Oct 16, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• E••••• L•• · Partnercontrolsince 12/2021 · owns less than 5%
- K•••• R••••••• H••••••• · Partnercontrolsince 12/2021 · owns less than 5%
- K•••• R••••••• H••••••• · Managing Partnercontrolsince 10/2012 · owns less than 5%
- S••••••••• N•••• A•••• · Chief Compliance Officer & Managing Partnercontrolsince 10/2012 · owns less than 5%
- K•••• R••••••• H••••••• · Managing Membercontrolsince 12/2021 · owns 50% to 75% of I•••••••• L••••• P•••••••• L••
- S••••••••• N•••• A•••• · Managing Membercontrolsince 12/2021 · owns 25% to 50% of I•••••••• L••••• P•••••••• L••
Entity owners
- I•••••••• H•••••••• L•• · Managing Memberdirect · owns 75% or more
- I•••••••• L••••• P•••••••• L•• · Managing Memberindirect · owns 75% or more of I•••••••• H•••••••• L••
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| L•••••••••, Il · principal | 9 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 2,556 to 2,687Feb 10, 2025 to Mar 27, 2026
- HNW clients · 381 to 428Feb 10, 2025 to Mar 27, 2026
- Individual clients · 511 to 492Feb 10, 2025 to Mar 27, 2026
- Pension plan clients · 36 to 35Feb 10, 2025 to Mar 27, 2026
- Assets in custody · $1.0B to $1.1BFeb 10, 2025 to Mar 27, 2026
- Employees · 13 to 12Feb 10, 2025 to Mar 27, 2026
- Discretionary RAUM · $1.2B to $1.4BFeb 10, 2025 to Mar 27, 2026
- HNW RAUM · $1.1B to $1.3BFeb 10, 2025 to Mar 27, 2026
- Individual RAUM · $116M to $98.8MFeb 10, 2025 to Mar 27, 2026
- Pension RAUM · $25.0M to $29.5MFeb 10, 2025 to Mar 27, 2026
- RAUM · $1.2B to $1.4BFeb 10, 2025 to Mar 27, 2026
- Accounts · 2,567 to 2,556Sep 16, 2024 to Feb 10, 2025
- HNW clients · 440 to 381Sep 16, 2024 to Feb 10, 2025
- Individual clients · 411 to 511Sep 16, 2024 to Feb 10, 2025
- Pension plan clients · 22 to 36Sep 16, 2024 to Feb 10, 2025
- Assets in custody · $968M to $1.0BSep 16, 2024 to Feb 10, 2025
- Financial planning clients · 0 to 0Sep 16, 2024 to Feb 10, 2025
- Discretionary RAUM · $1.1B to $1.2BSep 16, 2024 to Feb 10, 2025
- HNW RAUM · $990M to $1.1BSep 16, 2024 to Feb 10, 2025
- Individual RAUM · $71.1M to $116MSep 16, 2024 to Feb 10, 2025
- Pension RAUM · $14.8M to $25.0MSep 16, 2024 to Feb 10, 2025
- RAUM · $1.1B to $1.2BSep 16, 2024 to Feb 10, 2025
- Accounts · 2,383 to 2,567Mar 13, 2023 to Feb 26, 2024
- HNW clients · 433 to 440Mar 13, 2023 to Feb 26, 2024
- Individual clients · 372 to 411Mar 13, 2023 to Feb 26, 2024
- Pension plan clients · 30 to 22Mar 13, 2023 to Feb 26, 2024
- Assets in custody · $888M to $968MMar 13, 2023 to Feb 26, 2024
- Discretionary RAUM · $915M to $1.1BMar 13, 2023 to Feb 26, 2024
- HNW RAUM · $806M to $990MMar 13, 2023 to Feb 26, 2024
- Individual RAUM · $95.9M to $71.1MMar 13, 2023 to Feb 26, 2024
- Pension RAUM · $13.8M to $14.8MMar 13, 2023 to Feb 26, 2024
- RAUM · $915M to $1.1BMar 13, 2023 to Feb 26, 2024
- Wrap assets (sponsor) · $560,272 to $0Mar 13, 2023 to Feb 26, 2024
- Accounts · 2,514 to 2,383Jan 18, 2023 to Mar 7, 2023
- HNW clients · 325 to 433Jan 18, 2023 to Mar 7, 2023
- Individual clients · 495 to 372Jan 18, 2023 to Mar 7, 2023
- Pension plan clients · 28 to 30Jan 18, 2023 to Mar 7, 2023
- Assets in custody · $1.0B to $888MJan 18, 2023 to Mar 7, 2023
- Employees · 12 to 13Jan 18, 2023 to Mar 7, 2023
- Discretionary RAUM · $1.0B to $915MJan 18, 2023 to Mar 7, 2023
Signals
4 dated events
- Lee Erika Bateman (Partner) appeared on Schedule A of I•••••••• W••••• A•••••••• L••Mar 13, 2023 · Control person joined · fact
- I•••••••• W••••• A•••••••• L•• reported RAUM $1.0B, up 31% from $791.4M (2021-12-21 to 2022-02-08)Feb 8, 2022 · RAUM change · derived
- I•••••••• W••••• A•••••••• L•• reported RAUM $603.6M, up 27% from $473.4M (2017-08-18 to 2018-03-13)Mar 13, 2018 · RAUM change · derived
- I••••••• W••••• A••••••• L•• filed its initial SEC registration (Form ADV)Sep 17, 2012 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- i•••••@i•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 847-918-9100reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- I••••••••WEALTH.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 847-918-9100reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- i•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $139Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026