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
S••••• I••••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Mar 3, 2020 · 13 filings
SEC status approved since Apr 2, 2020
RAUM
$201M
reported, Item 5.F
Discretionary
85%
of RAUM
Private clients
98%
$197M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$50.2M
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$201M as of Mar 24, 2026
Feb 25, 2021$132M then
HNW client RAUM$88.9M as of Mar 24, 2026
Feb 25, 2021$47.0M then
State-registered IARs (5.B.3)4 as of Mar 24, 2026
Feb 25, 20212 then
Employees (5.A)8 as of Mar 24, 2026
Feb 25, 20216 then
Private funds: no history
RAUM +2.0% over the last fiscal year+12% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 24, 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
- RAUM per advisor
- $50.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 131derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $132,015derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 85%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -8.2%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consulting, otherreportedItem 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)
- compensates persons for client referrals (8.G.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$108M54%
- High-net-worth individuals$88.9M44%
- Corporations and businesses$3.8M1.9%
- Individual clients
- 448reported
- HNW clients
- 76reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,522reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• A•••••• M•••••• | Chicago, Il | Feb 25, 2013 | 19 y | 0 |
| D••••• I• C•••••• | Chicago, Il | Mar 21, 2023 | 16 y | 1 |
| J••••• M•••••• B•••••• | Chicago, Il | Jan 6, 2026 | 13 y | 1 |
| A•••• M•••••• H•••••• | Chicago, Il | Jul 27, 2026 | 11 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- M•••••• A•••••• R••• to A• W••••• M••••••••• L••May 7, 2025 · RIA to affiliated broker-dealer or bank
- C•••••• R•••••• V•••••• to P•••• S••••••••• L••Jul 12, 2023 · RIA to affiliated broker-dealer or bank
- J••• A• E•••• to E•••••••• A•••••••• L••Apr 2, 2014 · RIA to affiliated broker-dealer or bank
Joined, latest
- J••••• M•••••• B•••••• from F••••• I•••••••••Jan 6, 2026 · RIA to RIA
- M•••••• A•••••• R••• from G•••••••• F•••••••• G••••• L••Feb 19, 2025 · RIA to RIA
- D••••• I• C•••••• from E••••• J••••Mar 21, 2023 · Affiliated broker-dealer or bank to independent RIA
- C•••••• R•••••• V•••••• from F•••• C•••••• A••••••• S•••••••Sep 22, 2022 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••• T••• E••••• · Membercontrolsince 10/2015 · owns 25% to 50%
- M••••••• S•••••• A•••••• · Member/Chief Compliance Officercontrolsince 02/2013 · owns 25% to 50%
- M••••••• P•••••••• A••• · Membersince 08/2020 · owns 5% to 10%
Related persons
Schedule D 7.A
- S••••• F••••••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Chicago, Il · principal | 4 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,649 to 1,522Mar 7, 2025 to Mar 24, 2026
- Corporate clients · 8 to 7Mar 7, 2025 to Mar 24, 2026
- HNW clients · 79 to 76Mar 7, 2025 to Mar 24, 2026
- Individual clients · 492 to 448Mar 7, 2025 to Mar 24, 2026
- Discretionary RAUM · $148M to $171MMar 7, 2025 to Mar 24, 2026
- HNW RAUM · $87.9M to $88.9MMar 7, 2025 to Mar 24, 2026
- Individual RAUM · $106M to $108MMar 7, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $48.7M to $29.6MMar 7, 2025 to Mar 24, 2026
- RAUM · $197M to $201MMar 7, 2025 to Mar 24, 2026
- Accounts · 1,458 to 1,649Mar 1, 2024 to Mar 7, 2025
- Advisory employees · 3 to 4Mar 1, 2024 to Mar 7, 2025
- Corporate clients · 7 to 8Mar 1, 2024 to Mar 7, 2025
- HNW clients · 72 to 79Mar 1, 2024 to Mar 7, 2025
- Individual clients · 513 to 492Mar 1, 2024 to Mar 7, 2025
- Employees · 7 to 8Mar 1, 2024 to Mar 7, 2025
- Financial planning clients · unset to Mar 1, 2024 to Mar 7, 2025
- State-registered IARs · 3 to 4Mar 1, 2024 to Mar 7, 2025
- Discretionary RAUM · $124M to $148MMar 1, 2024 to Mar 7, 2025
- HNW RAUM · $75.7M to $87.9MMar 1, 2024 to Mar 7, 2025
- Individual RAUM · $94.5M to $106MMar 1, 2024 to Mar 7, 2025
- Non-discretionary RAUM · $49.3M to $48.7MMar 1, 2024 to Mar 7, 2025
- RAUM · $174M to $197MMar 1, 2024 to Mar 7, 2025
- Accounts · 1,317 to 1,458Mar 21, 2023 to Mar 1, 2024
- Advisory employees · 5 to 3Mar 21, 2023 to Mar 1, 2024
- Corporate clients · 100 to 7Mar 21, 2023 to Mar 1, 2024
- HNW clients · 67 to 72Mar 21, 2023 to Mar 1, 2024
- Individual clients · 467 to 513Mar 21, 2023 to Mar 1, 2024
- Employees · 9 to 7Mar 21, 2023 to Mar 1, 2024
- State-registered IARs · 5 to 3Mar 21, 2023 to Mar 1, 2024
- Discretionary RAUM · $98.8M to $124MMar 21, 2023 to Mar 1, 2024
- HNW RAUM · $58.9M to $75.7MMar 21, 2023 to Mar 1, 2024
- Individual RAUM · $67.3M to $94.5MMar 21, 2023 to Mar 1, 2024
- Non-discretionary RAUM · $43.5M to $49.3MMar 21, 2023 to Mar 1, 2024
- RAUM · $142M to $174MMar 21, 2023 to Mar 1, 2024
- Advisory employees · 4 to 5Feb 27, 2023 to Mar 21, 2023
- Employees · 8 to 9Feb 27, 2023 to Mar 21, 2023
- State-registered IARs · 4 to 5Feb 27, 2023 to Mar 21, 2023
- Accounts · 1,203 to 1,317Sep 22, 2022 to Feb 27, 2023
- Corporate clients · 119 to 100Sep 22, 2022 to Feb 27, 2023
- HNW clients · 60 to 67Sep 22, 2022 to Feb 27, 2023
Signals
6 dated events
- M•••••• A•••••• R••• left S••••• I••••••••• L•• for A• W••••• M••••••••• L•• (registered 2025-06-13)May 7, 2025 · Advisor changed firm · fact
- C•••••• R•••••• V•••••• left S••••• I••••••••• L•• for P•••• S••••••••• L•• (registered 2023-09-07)Jul 12, 2023 · Advisor changed firm · fact
- S••••• I••••••••• L•• reported 0 offices beyond its principal office, down from 12 (2020-06-30 to 2020-09-10)Sep 10, 2020 · Office count change · derived
- Thaddeus Wong (Member) no longer on Schedule A of S••••• I••••••••• L•• (listed 2020-06-30, absent 2020-09-10)Sep 10, 2020 · Control person left · inference
- Michael Golden (Member) no longer on Schedule A of S••••• I••••••••• L•• (listed 2020-06-30, absent 2020-09-10)Sep 10, 2020 · Control person left · inference
- ••••••••• I••••••••• filed its initial SEC registration (Form ADV)Mar 3, 2020 · ria f•••• adv filing · 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
- info@stridefinancialadvisors.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- efrancque@stridefinancialadvisors.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- pmcelroy@stridefinancialadvisors.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- tmurray@stridefinancialadvisors.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 312-767-9166reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 888-380-9509reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- stridefinancialadvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-767-9166reportedpublic record, Form ADV, Mar 24, 2026
- Contact form
- stridefinancialadvisors.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- stridefinancialadvisors.com/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $50.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026