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
A•• A••••••• L••
Latest filing Jan 25, 2026
First filing on the tape Jan 10, 2025 · 2 filings
SEC status approved since Feb 10, 2025
RAUM
$196M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
89%
$174M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$65.2M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$196M as of Jan 25, 2026
Jan 10, 2025$170M then
HNW client RAUM$127M as of Jan 25, 2026
Jan 10, 2025$112M then
State-registered IARs (5.B.3)2 as of Jan 25, 2026
Jan 10, 20252 then
Employees (5.A)2 as of Jan 25, 2026
Jan 10, 20252 then
Private funds: no history
RAUM +15% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Jan 25, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- $65.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 108derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $184,740derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, 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
- 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$127M65%
- Individuals$47.4M24%
- Pension and profit-sharing plans$16.5M8.4%
- Charitable organizations$4.6M2.4%
- Individual clients
- 205reported
- HNW clients
- 120reported
- Pension plan clients
- 13reported
- Charitable clients
- 1reported
- Accounts
- 1,059reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.11 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••••• A••••• V•••• | Bloomington, Il | May 30, 2013 | 18 y | 3 |
| B••• R•••••• M•••Chartered Financial Consultant | Bloomington, Il | May 30, 2013 | 20 y | 3 |
| H•••• A••••• V•••• | Bloomington, Il | Jun 4, 2026 | 15 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
- B••• R•••••• M••• from F••• A•••••••May 30, 2013 · Other
- P•••••• A••••• V•••• from F••• A•••••••May 30, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••• B•••• R•••••• · Managing Membercontrolsince 04/2013 · owns 50% to 75%
- V••••• P••••••• A••••• · Managing Member - Ccocontrolsince 04/2013 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Bloomington, Il · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,024 to 1,059Jan 10, 2025 to Jan 25, 2026
- HNW clients · 126 to 120Jan 10, 2025 to Jan 25, 2026
- Individual clients · 167 to 205Jan 10, 2025 to Jan 25, 2026
- Discretionary RAUM · $152M to $179MJan 10, 2025 to Jan 25, 2026
- HNW RAUM · $112M to $127MJan 10, 2025 to Jan 25, 2026
- Individual RAUM · $36.6M to $47.4MJan 10, 2025 to Jan 25, 2026
- Non-discretionary RAUM · $17.8M to $16.5MJan 10, 2025 to Jan 25, 2026
- Pension RAUM · $17.8M to $16.5MJan 10, 2025 to Jan 25, 2026
- RAUM · $170M to $196MJan 10, 2025 to Jan 25, 2026
Signals
No event on the tape.
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
- Website
- w••.a•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (309) 661-2000reportedpublic record, Form ADV, Jan 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
- $65.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026