DFX Intelligence

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F•••••••• C••••••• L••

Independent wealth managerSEC-registeredwebsite

Independent wealth manager, reporting $99.9M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-23 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $99.9M
Advisors: 0
RAUM change, 1 year: -18%
Private clients: 100%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-03-23 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 23 Mar 2026, RAUM $121M to $99.9M (-17.6%) on the Form ADV filed 23 Mar 2026.

Every filed figure, and the identifiersCRD 167222 · SEC 801-110076 · 15 filingsShow

CRD 167222SEC 801-110076First filing on the tape Apr 8, 2014, latest Mar 23, 2026SEC status approved since Mar 6, 2017IAPD

RAUM

$99.9M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$99.9M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

15 filings and snapshots on the tape

RAUM -7.2% a year over three years · the tape starts Apr 8, 2014

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$99.9M as of Mar 23, 2026

Mar 12, 2018$135M then

HNW client RAUM$99.9M as of Mar 23, 2026

Mar 12, 2018$130M then

State-registered IARs (5.B.3)0 as of Mar 23, 2026

Mar 12, 20180 then

Employees (5.A)2 as of Mar 23, 2026

Mar 12, 20182 then

Private funds: no history

RAUM -18% over the last fiscal year-7.2% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 23, 2026; every figure names its basis

Archetypes

Broker-dealer affiliated

The rule behind each archetype, and every derived figure1 ruleShow

Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)

RAUM per advisor: unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: $5.3MderivedHNW RAUM over HNW clients
Average account: $5.3MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived1 office incl. principal (1.F.5)
RAUM growth, one year: -18%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities: portfolio management for individualsreportedItem 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

is a broker-dealer (6.A.1)
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

100% high-net-worth individuals

The breakdown by client type, and the client counts1 client typesShow

High-net-worth individuals$99.9M100%

Individual clients: n/areported
HNW clients: 19reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 19reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, performancereported
Class basis: RAUM: 100% private clients, 0% pooled funds, 0% institutions; a related broker-dealer; no related bankderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

T•••••••• R•••••• A••• · Managing Member And Chief Compliance Officercontrol
since 01/2013 · owns 75% or more
B•••••••• J•••• F•••••••• · Managing Member
since 01/2013 · owns 5% to 10%

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 18 to 19
Mar 17, 2025 to Mar 23, 2026
HNW clients · 18 to 19
Mar 17, 2025 to Mar 23, 2026
Discretionary RAUM · $121M to $99.9M
Mar 17, 2025 to Mar 23, 2026
HNW RAUM · $121M to $99.9M
Mar 17, 2025 to Mar 23, 2026
RAUM · $121M to $99.9M
Mar 17, 2025 to Mar 23, 2026

Full history · 60 changes

Accounts · 15 to 18
Mar 18, 2024 to Mar 17, 2025
HNW clients · 15 to 18
Mar 18, 2024 to Mar 17, 2025
Financial planning clients · 0 to 0
Mar 18, 2024 to Mar 17, 2025
HQ city · unset to
Mar 18, 2024 to Mar 17, 2025
HQ state · unset to
Mar 18, 2024 to Mar 17, 2025
Discretionary RAUM · $112M to $121M
Mar 18, 2024 to Mar 17, 2025
HNW RAUM · $112M to $121M
Mar 18, 2024 to Mar 17, 2025
RAUM · $112M to $121M
Mar 18, 2024 to Mar 17, 2025
Related broker-dealer · false to true
Mar 18, 2024 to Mar 17, 2025
Discretionary RAUM · $103M to $112M
Dec 8, 2023 to Mar 18, 2024
HNW RAUM · $103M to $112M
Dec 8, 2023 to Mar 18, 2024
RAUM · $103M to $112M
Dec 8, 2023 to Mar 18, 2024
Accounts · 16 to 15
Mar 21, 2023 to Dec 8, 2023
Advisory employees · 2 to 1
Mar 21, 2023 to Dec 8, 2023
HNW clients · 16 to 15
Mar 21, 2023 to Dec 8, 2023
Discretionary RAUM · $125M to $103M
Mar 21, 2023 to Dec 8, 2023
HNW RAUM · $125M to $103M
Mar 21, 2023 to Dec 8, 2023
RAUM · $125M to $103M
Mar 21, 2023 to Dec 8, 2023
Accounts · 14 to 16
Mar 21, 2022 to Mar 21, 2023
HNW clients · 14 to 16
Mar 21, 2022 to Mar 21, 2023
Discretionary RAUM · $147M to $125M
Mar 21, 2022 to Mar 21, 2023
HNW RAUM · $147M to $125M
Mar 21, 2022 to Mar 21, 2023
RAUM · $147M to $125M
Mar 21, 2022 to Mar 21, 2023
Advisory activities · 2 to 1
Mar 17, 2021 to Mar 21, 2022
Financial planning clients · unset to 0
Mar 17, 2021 to Mar 21, 2022
Discretionary RAUM · $129M to $147M
Mar 17, 2021 to Mar 21, 2022
HNW RAUM · $129M to $147M
Mar 17, 2021 to Mar 21, 2022
RAUM · $129M to $147M
Mar 17, 2021 to Mar 21, 2022
HNW clients · 12 to 14
Jun 29, 2020 to Mar 17, 2021
Discretionary RAUM · $157M to $129M
Jun 29, 2020 to Mar 17, 2021
HNW RAUM · $154M to $129M
Jun 29, 2020 to Mar 17, 2021
RAUM · $157M to $129M
Jun 29, 2020 to Mar 17, 2021
Accounts · 15 to 14
Mar 12, 2019 to Mar 5, 2020
HNW clients · 13 to 12
Mar 12, 2019 to Mar 5, 2020
HQ city · NORTHBROOK to unset
Mar 12, 2019 to Mar 5, 2020
HQ state · IL to unset
Mar 12, 2019 to Mar 5, 2020
Discretionary RAUM · $132M to $157M
Mar 12, 2019 to Mar 5, 2020
HNW RAUM · $126M to $154M
Mar 12, 2019 to Mar 5, 2020
RAUM · $132M to $157M
Mar 12, 2019 to Mar 5, 2020
Accounts · 11 to 15
Mar 12, 2018 to Mar 12, 2019
HNW clients · 10 to 13
Mar 12, 2018 to Mar 12, 2019
Discretionary RAUM · $135M to $132M
Mar 12, 2018 to Mar 12, 2019
HNW RAUM · $130M to $126M
Mar 12, 2018 to Mar 12, 2019
RAUM · $135M to $132M
Mar 12, 2018 to Mar 12, 2019
Accounts · 14 to 11
Feb 23, 2017 to Mar 12, 2018
HNW clients · unset to 10.0
Feb 23, 2017 to Mar 12, 2018
Other offices · unset to 0.0
Feb 23, 2017 to Mar 12, 2018
Discretionary RAUM · $108M to $135M
Feb 23, 2017 to Mar 12, 2018
HNW RAUM · unset to 129849199.0
Feb 23, 2017 to Mar 12, 2018
RAUM · $108M to $135M
Feb 23, 2017 to Mar 12, 2018
RAUM · $0 to $108M
May 5, 2014 to Feb 23, 2017
Accounts · 0 to 14
May 5, 2014 to Feb 23, 2017
State-registered IARs · 2 to 0
May 5, 2014 to Feb 23, 2017
Discretionary RAUM · $0 to $108M
May 5, 2014 to Feb 23, 2017
Organization form · Other (specify) to Limited Liability Company
Apr 8, 2014 to Apr 25, 2014

Signals

1 dated events

••• Locked
Apr 8, 2014 · 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: ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
Business email: ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Mar 23, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 23, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Not yet on record: net advisor flow, 12 months.