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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Former SEC-registered adviser
C••• W••••• M••••••••• I•••
Latest filing Feb 2, 2024
First filing on the tape Dec 10, 2012 · 31 filings
RAUM
$225M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$213M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$225M as of Feb 2, 2024
Feb 8, 2014$109M then
HNW client RAUM$104M as of Feb 2, 2024
Feb 7, 2018$23.6M then
State-registered IARs (5.B.3)2 as of Feb 2, 2024
Feb 8, 20143 then
Employees (5.A)4 as of Feb 2, 2024
Feb 8, 20143 then
Private funds: no history
RAUM +10% over the last fiscal year+8.9% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 2, 2024; every figure names its basis
- RAUM per advisor
- $113MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 115derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $962,363derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.0%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
- Wrap fee program
- $204MreportedItem 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
- Individuals$108M48%
- High-net-worth individuals$104M46%
- Charitable organizations$9.1M4.0%
- Corporations and businesses$3.4M1.5%
- Individual clients
- 200reported
- HNW clients
- 30reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 234reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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
- D••••• A•••• Z•••••••• to R•••••••• S•••••••Oct 25, 2024 · RIA to RIA
- T••••• R••••• C•••••••• to R•••••••• S•••••••Oct 25, 2024 · RIA to RIA
- J••• P•••••• D••• to R•••••••• S•••••••Oct 25, 2024 · RIA to RIA
- S•••••• T••• M•••••••• to L•• F•••••••• L••Mar 21, 2017 · Other
Joined, latest
- S•••••• T••• M•••••••• from L•• F•••••••• L••Jan 16, 2013 · Other
- T••••• R••••• C•••••••• from L•• F•••••••• L••Jan 15, 2013 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for R•••••••• S•••••••Oct 25, 2024 · Hawthorn Woods, Il · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• T•••••• R••••• · President, Director, Shareholdercontrolsince 10/2005 · owns 75% or more
- D•••• J•••• P•••••• · Chief Compliance Officercontrolsince 02/2014 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Hawthorn Woods, Il | 0 | 0 | 0 | ||
| North Barrington, Il · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 241 to 234Feb 3, 2023 to Feb 2, 2024
- HNW clients · 24 to 30Feb 3, 2023 to Feb 2, 2024
- Individual clients · 213 to 200Feb 3, 2023 to Feb 2, 2024
- Discretionary RAUM · $204M to $225MFeb 3, 2023 to Feb 2, 2024
- HNW RAUM · $85.3M to $104MFeb 3, 2023 to Feb 2, 2024
- Individual RAUM · $107M to $108MFeb 3, 2023 to Feb 2, 2024
- RAUM · $204M to $225MFeb 3, 2023 to Feb 2, 2024
- Accounts · 239 to 241Feb 18, 2022 to Feb 3, 2023
- HNW clients · 93 to 24Feb 18, 2022 to Feb 3, 2023
- Individual clients · 142 to 213Feb 18, 2022 to Feb 3, 2023
- Assets in custody · 5562311.0 to unsetFeb 18, 2022 to Feb 3, 2023
- Custody of client assets · true to falseFeb 18, 2022 to Feb 3, 2023
- Discretionary RAUM · $224M to $204MFeb 18, 2022 to Feb 3, 2023
- HNW RAUM · $176M to $85.3MFeb 18, 2022 to Feb 3, 2023
- Individual RAUM · $34.6M to $107MFeb 18, 2022 to Feb 3, 2023
- RAUM · $224M to $204MFeb 18, 2022 to Feb 3, 2023
- Accounts · 738 to 239Nov 19, 2021 to Feb 18, 2022
- Charity clients · unset to 1.0Nov 19, 2021 to Feb 18, 2022
- HNW clients · 59 to 93Nov 19, 2021 to Feb 18, 2022
- Individual clients · 172 to 142Nov 19, 2021 to Feb 18, 2022
- Discretionary RAUM · $174M to $224MNov 19, 2021 to Feb 18, 2022
- HNW RAUM · $116M to $176MNov 19, 2021 to Feb 18, 2022
- Individual RAUM · $55.9M to $34.6MNov 19, 2021 to Feb 18, 2022
- RAUM · $174M to $224MNov 19, 2021 to Feb 18, 2022
- Accounts · 733 to 738Oct 13, 2020 to Mar 11, 2021
- HNW clients · 53 to 59Oct 13, 2020 to Mar 11, 2021
- Individual clients · 175 to 172Oct 13, 2020 to Mar 11, 2021
- Assets in custody · $4.9M to $5.6MOct 13, 2020 to Mar 11, 2021
- Discretionary RAUM · $157M to $174MOct 13, 2020 to Mar 11, 2021
- HNW RAUM · $97.6M to $116MOct 13, 2020 to Mar 11, 2021
- Individual RAUM · $56.6M to $55.9MOct 13, 2020 to Mar 11, 2021
- RAUM · $157M to $174MOct 13, 2020 to Mar 11, 2021
- Advisory activities · 5 to 6Jun 29, 2020 to Oct 13, 2020
- Accounts · 743 to 733Jan 9, 2020 to Mar 10, 2020
- HNW clients · 39 to 53Jan 9, 2020 to Mar 10, 2020
- Individual clients · 184 to 175Jan 9, 2020 to Mar 10, 2020
- Assets in custody · $4.7M to $4.9MJan 9, 2020 to Mar 10, 2020
- Discretionary RAUM · $129M to $157MJan 9, 2020 to Mar 10, 2020
- HNW RAUM · $66.7M to $97.6MJan 9, 2020 to Mar 10, 2020
- Individual RAUM · $60.0M to $56.6MJan 9, 2020 to Mar 10, 2020
Signals
5 dated events
- D••••• A•••• Z•••••••• left C••• W••••• M••••••••• I••• for R•••••••• S••••••• (registered 2024-10-03)Oct 25, 2024 · Advisor changed firm · fact
- J••• P•••••• D••• left C••• W••••• M••••••••• I••• for R•••••••• S••••••• (registered 2024-10-04)Oct 25, 2024 · Advisor changed firm · fact
- T••••• R••••• C•••••••• left C••• W••••• M••••••••• I••• for R•••••••• S••••••• (registered 2024-10-07)Oct 25, 2024 · Advisor changed firm · fact
- C••• W••••• M••••••••• I•••'s advisors moved to R•••••••• S••••••• (Hawthorn Woods, IL): 3 of 3 registered, on the same dayOct 25, 2024 · Firm absorbed (people side) · derived
- C••• W••••• M••••••••• I••• filed its initial SEC registration (Form ADV)Dec 10, 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.
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