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
L••• C•••••• P•••••••
Legal name L••• C•••••• P•••••••• L••
Latest filing Mar 25, 2026
First filing on the tape Mar 21, 2013 · 24 filings
SEC status approved since Apr 4, 2013
RAUM
$235M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
71%
$167M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$118M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$235M as of Mar 25, 2026
Mar 28, 2014$133M then
HNW client RAUM$167M as of Mar 25, 2026
Mar 6, 2018$55.5M then
State-registered IARs (5.B.3)1 as of Mar 25, 2026
Mar 28, 20140 then
Employees (5.A)5 as of Mar 25, 2026
Mar 28, 20143 then
Private funds2 as of Mar 31, 2022
Mar 28, 20142 then
RAUM +41% over the last fiscal year+35% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 25, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $118MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 39derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $3.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +41%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +32%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 5.G
- 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$167M71%
- Investment companies$68.5M29%
- Individual clients
- 0reported
- HNW clients
- 78reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 79reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.71 fund_share=0.29 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• M•••••••• M•••••• | Northfield, Il | Mar 24, 2016 | 31 y | 0 |
| J•• R••••• L••• | Evanston, Il | Oct 17, 2022 | 21 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
none on the tape
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B••••••••• I••••••••• P••••••••• L•no longer reported | Other Private Fund | $13.4M | 27 | Mar 21, 2013 |
| B••••••••• I••••••••• P••••••••• 3• L•no longer reported | Other Private Fund | $9.1M | 29 | Sep 29, 2017 |
| B••••••••• I••••••••• P••••••••• 2• L•no longer reported | Other Private Fund | $4.0M | 8 | Mar 28, 2014 |
Owners and control persons
Schedule A and B, latest filing
- L•••• J••• R••••• · Member, Chief Compliance Officercontrolsince 05/2008 · owns 50% to 75%
- M••••••• D••••• M•••••••• · Membercontrolsince 08/2008 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Mar 25, 2026RAUM (Item 5.F) moved from $167,064,704 to $235,044,271 (+41.0%) between the annual amendments of 2025-03-26 and 2026-03-25; the peer median change was +15.0% (4549 comparable advisers, 93.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,549) · 93% percentile
What changed
consecutive filings, newest first
- Accounts · 60 to 79Mar 26, 2025 to Mar 25, 2026
- HNW clients · 59 to 78Mar 26, 2025 to Mar 25, 2026
- Discretionary RAUM · $167M to $235MMar 26, 2025 to Mar 25, 2026
- HNW RAUM · $131M to $167MMar 26, 2025 to Mar 25, 2026
- RAUM · $167M to $235MMar 26, 2025 to Mar 25, 2026
- Accounts · 28 to 60May 24, 2024 to Mar 26, 2025
- HNW clients · 27 to 59May 24, 2024 to Mar 26, 2025
- Financial planning clients · unset to May 24, 2024 to Mar 26, 2025
- Discretionary RAUM · $101M to $167MMay 24, 2024 to Mar 26, 2025
- HNW RAUM · $78.7M to $131MMay 24, 2024 to Mar 26, 2025
- RAUM · $101M to $167MMay 24, 2024 to Mar 26, 2025
- Accounts · 23 to 28Nov 30, 2023 to Mar 25, 2024
- Advisory employees · 6 to 5Nov 30, 2023 to Mar 25, 2024
- HNW clients · 22 to 27Nov 30, 2023 to Mar 25, 2024
- Employees · 6 to 5Nov 30, 2023 to Mar 25, 2024
- Discretionary RAUM · $95.6M to $101MNov 30, 2023 to Mar 25, 2024
- HNW RAUM · $80.0M to $78.7MNov 30, 2023 to Mar 25, 2024
- RAUM · $95.6M to $101MNov 30, 2023 to Mar 25, 2024
- Accounts · 22 to 23Mar 31, 2022 to Mar 27, 2023
- HNW clients · 20 to 22Mar 31, 2022 to Mar 27, 2023
- Pooled vehicle clients · 2 to 0Mar 31, 2022 to Mar 27, 2023
- Assets in custody · 101875021.0 to unsetMar 31, 2022 to Mar 27, 2023
- Custody of client assets · true to falseMar 31, 2022 to Mar 27, 2023
- Private funds · 2 to unsetMar 31, 2022 to Mar 27, 2023
- Discretionary RAUM · $102M to $95.6MMar 31, 2022 to Mar 27, 2023
- HNW RAUM · $82.6M to $80.0MMar 31, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · 19294702.0 to unsetMar 31, 2022 to Mar 27, 2023
- RAUM · $102M to $95.6MMar 31, 2022 to Mar 27, 2023
- Accounts · 26 to 22Jun 1, 2021 to Mar 31, 2022
- HNW clients · 23 to 20Jun 1, 2021 to Mar 31, 2022
- Assets in custody · $44.7M to $102MJun 1, 2021 to Mar 31, 2022
- Discretionary RAUM · $101M to $102MJun 1, 2021 to Mar 31, 2022
- HNW RAUM · $78.4M to $82.6MJun 1, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $100M to $0Jun 1, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $22.5M to $19.3MJun 1, 2021 to Mar 31, 2022
- RAUM · $201M to $102MJun 1, 2021 to Mar 31, 2022
- Accounts · 22 to 26Jun 30, 2020 to Mar 30, 2021
- HNW clients · 19 to 23Jun 30, 2020 to Mar 30, 2021
- State-registered IARs · 2 to 1Jun 30, 2020 to Mar 30, 2021
- Discretionary RAUM · $87.1M to $101MJun 30, 2020 to Mar 30, 2021
Signals
1 dated events
- L••• C•••••• P••••••• filed its initial SEC registration (Form ADV)Mar 21, 2013 · 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 phone
- 833-615-3031reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- lcpmx.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 312-878-3830reportedpublic record, Form ADV, Mar 25, 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
- $118Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026