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
V••••• C••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Oct 30, 2012 · 62 filings
SEC status approved since Oct 1, 2012
RAUM
$2.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$2.1B individuals and HNW
Advisors
24
registered through the firm on IAPD
RAUM per advisor
$94.8M
derived; firm RAUM over IAPD count
Employees
27
24 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
62 filings and snapshots on the tape
RAUM$2.3B as of Mar 27, 2026
Mar 28, 2013$444M then
HNW client RAUM$1.9B as of Mar 27, 2026
Mar 26, 2018$458M then
State-registered IARs (5.B.3)24 as of Mar 27, 2026
Mar 28, 201311 then
Employees (5.A)27 as of Mar 27, 2026
Mar 28, 201312 then
Private funds: no history
RAUM +9.4% over the last fiscal year+16% a year over threeIARs 21 to 24
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
- RAUM per advisor
- $94.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 50derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $606,422derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 8.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.5%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, publications, educational seminars, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $195M, 958 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.9B85%
- Individuals$162M7.1%
- Pension and profit-sharing plans$114M5.0%
- Corporations and businesses$69.2M3.0%
- Charitable organizations$5.9M0.3%
- Individual clients
- 605reported
- HNW clients
- 592reported
- Pension plan clients
- 62reported
- Charitable clients
- 5reported
- Accounts
- 3,753reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $0 sponsored, $5.0M managedreported
- Custody of client assets
- $195M for 958 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.05 related_bd=true related_bank=true bd_reps=0.0 bank_owner=falsederived
Advisors registered through the firm
24 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T•••••• R•••• D••••••Chartered Financial Analyst | Chicago, Il | Feb 10, 2022 | 22 y | 4 |
| T••••• B•••• E••• | Chicago, Il | Feb 10, 2022 | 11 y | 2 |
| J•••• A• B•••••••• | Chicago, Il | Feb 10, 2022 | 23 y | 4 |
| J••• A••••• S••••• | Chicago, Il | Feb 10, 2022 | 19 y | 2 |
| S••••••• H••••••• D•••••• | Chicago, Il | Feb 10, 2022 | 15 y | 2 |
| C•••••• C••••• B••• | Chicago, Il | Feb 10, 2022 | 17 y | 1 |
| P•••• J• M••••••Certified Financial Planner | Chicago, Il | Feb 10, 2022 | 16 y | 2 |
| M••• R•••••• H•••••Certified Financial Planner | Chicago, Il | Feb 10, 2022 | 18 y | 6 |
| J••• P• D••••• | Chicago, Il | Feb 10, 2022 | 13 y | 2 |
| B•••• C• B••••Certified Financial Planner | Chicago, Il | Feb 10, 2022 | 13 y | 1 |
| J••• A••• G••• | Chicago, Il | Feb 10, 2022 | 10 y | 2 |
| S••• L••••• B•••• | Chicago, Il | Feb 10, 2022 | 13 y | 1 |
| D••••• J•••• S••••Certified Financial Planner | Chicago, Il | Feb 10, 2022 | 41 y | 3 |
| E••••• S•• M••• | Chicago, Il | Feb 10, 2022 | 38 y | 3 |
| M••••• B•••••• | Chicago, Il | Feb 15, 2022 | 35 y | 3 |
| J••• M•••••• M•••••Chartered Financial Analyst | Chicago, Il | Jun 14, 2022 | 10 y | 0 |
| A•••••• W•••• G•••••••• | Chicago, Il | Jul 26, 2022 | 20 y | 3 |
| S•••••• M• K•••••• | Chicago, Il | Nov 17, 2022 | 14 y | 1 |
| S•••• A•••••• S•••• | Chicago, Il | Feb 9, 2023 | 41 y | 5 |
| E••• A•••••• S••••••• | Chicago, Il | Feb 27, 2024 | 14 y | 0 |
| L••••• C•••••••Certified Financial Planner | Chicago, Il | May 24, 2024 | 12 y | 1 |
| G•••• M••••• | Chicago, Il | Jul 11, 2024 | 12 y | 0 |
| W•••••• R• G••••• | Chicago, Il | Jun 16, 2025 | 12 y | 0 |
| K•••• M•••• T••••• | Chicago, Il | Apr 28, 2026 | 11 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
- C••••••• M•••••• S•••••• to H•••••••• A•••••••• L••Nov 1, 2021 · RIA to affiliated broker-dealer or bank
- G••••• W•••••• K••• to F•••••••• W••••• M••••••••• L••Feb 27, 2015 · Other
- J••••• R•••••• C••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Nov 12, 2014 · Other
- J•••• J• K•••••• to W•••••• • R•••Apr 1, 2013 · Other
- C•••••• R•••••• P•••• to L•• F•••••••• L••Dec 13, 2012 · Other
Joined, latest
- L••••• C••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 24, 2024 · Wirehouse to independent RIA
- S•••••• M• K•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Nov 17, 2022 · Wirehouse to independent RIA
- A•••••• W•••• G•••••••• from C•••••• S••••• • C••• I•••Jul 26, 2022 · Affiliated broker-dealer or bank to independent RIA
- M••• R•••••• H••••• from T• A••••••••• I••••••••• M••••••••• L••Sep 22, 2021 · RIA to RIA
- J••• A••• G••• from M••••• S••••••Jul 30, 2021 · Wirehouse to independent RIA
- S•••• A•••••• S•••• from A••••• F•••••••• P•••••••• I•••Dec 2, 2020 · Other
- J••• P• D••••• from U•••••• I••••••••• M••••••••• L•••••Sep 23, 2020 · RIA to RIA
- T••••• B•••• E••• from T• W••••• P•••••••• L••Oct 17, 2018 · RIA to RIA
- P•••• J• M•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 10, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• B••••• C• · Partnercontrolsince 03/2023 · owns less than 5%
- B••••••• M••••• · Presidentcontrolsince 12/2012 · owns less than 5%
- M••••••• P••••• J• · Partnercontrolsince 12/2020 · owns less than 5%
- S••••• D•••••• J•••• · Executive Vice Presidentcontrolsince 10/2012 · owns less than 5%
- S••••• S••••• A•••••• · Partnercontrolsince 12/2020 · owns less than 5%
- B•••• C••••••• C••••• · Chief Compliance Officersince 06/2020 · owns less than 5%
- D••••••• S•••••••• H••••••• · Chief O•••••••• Officersince 01/2024 · owns less than 5%
Entity owners
- F•••• O••••••••• L•• · Memberdirect · owns 75% or more
- C••• F•••••••• C••••••••• L••• · Partnerindirect · owns 25% to 50% of C••• F•••••••• H•••••••• L•••
- C••• F•••••••• H•••••••• L••• · Partnerindirect · owns 50% to 75% of F•••••••• F•• U••••••• H•••••••• L•
- C•••••• D••••••• • R••• F••• X••• L••• · Partnerindirect · owns 50% to 75% of C••• F•••••••• H•••••••• L•••
- F•••••••• F•• A••••••••• L•• · Shareholder, Class A Common Stockindirect · owns 75% or more of F•••• F•••••••• P•••••••• L••
- F•••••••• F•• I••••••••• H•••••••• L•• · Memberindirect · owns 75% or more of F•••••••• F•• A••••••••• L••
- F•••••••• F•• P•••••• I••• · Memberindirect · owns 75% or more of F•••••••• F•• I••••••••• H•••••••• L••
- F•••••••• F•• U••••••• H•••••••• L• · Shareholder, Class A Common Stockindirect · owns 75% or more of F•••• F•••••••• P••••••• I•••
- F•••••••• F•• U••••••• H•••••••• L• · Shareholderindirect · owns 75% or more of F•••••••• F•• P•••••• I•••
- F•••• F•••••••• P••••••• I••• · Managing Memberindirect · owns 75% or more of F•••• F•••••••• P•••••••• L••
- F•••• F•••••••• P•••••••• L•• · Memberindirect · owns 75% or more of F•••• O••••••••• L••
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Chicago, Il · principal | 24 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Lake Forest, IL4 employees
- Oakbrook, IL1 employees
What changed
consecutive filings, newest first
- Accounts · 3,472 to 3,753Apr 9, 2025 to Mar 27, 2026
- Advisory employees · 21 to 24Apr 9, 2025 to Mar 27, 2026
- Charity clients · 4 to 5Apr 9, 2025 to Mar 27, 2026
- Corporate clients · 23 to 24Apr 9, 2025 to Mar 27, 2026
- HNW clients · 574 to 592Apr 9, 2025 to Mar 27, 2026
- Individual clients · 594 to 605Apr 9, 2025 to Mar 27, 2026
- Pension plan clients · 75 to 62Apr 9, 2025 to Mar 27, 2026
- Assets in custody · $1.1B to $195MApr 9, 2025 to Mar 27, 2026
- Financial planning clients · 101-250 to 251-500Apr 9, 2025 to Mar 27, 2026
- State-registered IARs · 21 to 24Apr 9, 2025 to Mar 27, 2026
- Discretionary RAUM · $2.1B to $2.3BApr 9, 2025 to Mar 27, 2026
- HNW RAUM · $1.7B to $1.9BApr 9, 2025 to Mar 27, 2026
- Individual RAUM · $161M to $162MApr 9, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $0 to $1.3MApr 9, 2025 to Mar 27, 2026
- Pension RAUM · $116M to $114MApr 9, 2025 to Mar 27, 2026
- RAUM · $2.1B to $2.3BApr 9, 2025 to Mar 27, 2026
- Wrap assets (manager) · $4.9M to $5.0MApr 9, 2025 to Mar 27, 2026
- Related insurance company · false to trueOct 21, 2024 to Apr 9, 2025
- Accounts · 3,134 to 3,472Oct 21, 2024 to Apr 9, 2025
- Corporate clients · 18 to 23Oct 21, 2024 to Apr 9, 2025
- HNW clients · 479 to 574Oct 21, 2024 to Apr 9, 2025
- Individual clients · 574 to 594Oct 21, 2024 to Apr 9, 2025
- Pension plan clients · 73 to 75Oct 21, 2024 to Apr 9, 2025
- Assets in custody · $683M to $1.1BOct 21, 2024 to Apr 9, 2025
- Employees · 25 to 27Oct 21, 2024 to Apr 9, 2025
- Financial planning clients · 101-250 to 101-250Oct 21, 2024 to Apr 9, 2025
- State-registered IARs · 22 to 21Oct 21, 2024 to Apr 9, 2025
- Discretionary RAUM · $1.8B to $2.1BOct 21, 2024 to Apr 9, 2025
- HNW RAUM · $1.4B to $1.7BOct 21, 2024 to Apr 9, 2025
- Individual RAUM · $155M to $161MOct 21, 2024 to Apr 9, 2025
- Non-discretionary RAUM · $928,829 to $0Oct 21, 2024 to Apr 9, 2025
- Pension RAUM · $108M to $116MOct 21, 2024 to Apr 9, 2025
- RAUM · $1.8B to $2.1BOct 21, 2024 to Apr 9, 2025
- Wrap assets (manager) · $4.2M to $4.9MOct 21, 2024 to Apr 9, 2025
- Accounts · 2,687 to 3,134Mar 6, 2024 to Mar 27, 2024
- Corporate clients · 19 to 18Mar 6, 2024 to Mar 27, 2024
- HNW clients · 388 to 479Mar 6, 2024 to Mar 27, 2024
- Individual clients · 539 to 574Mar 6, 2024 to Mar 27, 2024
- Pension plan clients · 88 to 73Mar 6, 2024 to Mar 27, 2024
- Assets in custody · $872M to $683MMar 6, 2024 to Mar 27, 2024
Signals
8 dated events
- C. Brian Baker (Partner) appeared on Schedule A of V••••• C••••••• L••Sep 11, 2023 · Control person joined · fact
- V••••• C••••••• L•• reported RAUM $1.4B, up 44% from $944.5M (2020-10-02 to 2021-01-02)Jan 2, 2021 · RAUM change · derived
- Anthony Scott Stuth (Partner) appeared on Schedule A of V••••• C••••••• L••Jan 2, 2021 · Control person joined · fact
- J Peter Mullins (Partner) appeared on Schedule A of V••••• C••••••• L••Jan 2, 2021 · Control person joined · fact
- V••••• C••••••• L•• reported RAUM $993.1M, up 30% from $763.9M (2019-07-02 to 2020-02-14)Feb 14, 2020 · RAUM change · derived
- Patrick W•••••• Mcnulty (Treasurer & Chief Compliance Officer) no longer on Schedule A of V••••• C••••••• L•• (listed 2019-07-02, absent 2020-02-14)Feb 14, 2020 · Control person left · inference
- V••••• C••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Oct 30, 2012 · Succession (Item 4) · fact
- V••••• C••••••• L•• filed its initial SEC registration (Form ADV)Oct 30, 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 phone
- 312-641-2400reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/focus-financial-partnersreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/vestor-capital-corporationreportedpublic record, Form ADV, Sep 18, 2026
- Website
- V•••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-641-2400reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- vestorcapital.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- vestorcapital.com/our-teamreportedpublished 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
- $94.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026