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
J•••• T• B•••••• • C••
Latest filing Oct 21, 2025
First filing on the tape Oct 2, 2018 · 19 filings
SEC status approved since Nov 5, 2018
RAUM
$514M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$514M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$129M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$514M as of Oct 21, 2025
Oct 18, 2019$191M then
HNW client RAUM$361M as of Oct 21, 2025
Oct 18, 2019$53.3M then
State-registered IARs (5.B.3)4 as of Oct 21, 2025
Oct 18, 20194 then
Employees (5.A)4 as of Oct 21, 2025
Oct 18, 20194 then
Private funds: no history
RAUM +59% over the last fiscal year+19% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Oct 21, 2025; every figure names its basis
Archetypes, each a printed rule
- 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)
- 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
- RAUM per advisor
- $129MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 175derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $734,400derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +32%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Financial planning clients
- 700reportedItem 5.H
- 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)
- is an insurance broker or agent (6.A.6)
- 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)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$361M70%
- Individuals$153M30%
- Individual clients
- 534reported
- HNW clients
- 166reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 700reported
- Financial planning clients
- 700reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=4.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• T••••• B•••••• | East Dundee, Il | Feb 11, 1998 | 40 y | 0 |
| M•••••• T••••• S••••••• | East Dundee, Il | Jun 19, 2012 | 33 y | 2 |
| D••••• J•••• B•••••• | East Dundee, Il | Sep 26, 2016 | 10 y | 0 |
| C••• D•••••• A••••••• | East Dundee, Il | Aug 18, 2022 | 10 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
- W•••••• P••• C•••• to N••••• F•••••••• G••••• I•••Oct 18, 2022 · RIA to RIA
- J•••••• A•••• R•••••• to L•• F•••••••• L••Aug 5, 2019 · RIA to RIA
- G•••• E••••• V••• to L•• F•••••••• L••Nov 30, 2018 · RIA to RIA
- R••••• C••••••• O••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jun 18, 2018 · RIA to affiliated broker-dealer or bank
Joined, latest
- W•••••• P••• C•••• from K••• W••••• M••••••••• I•••Jan 3, 2019 · RIA to RIA
- M•••••• T••••• S••••••• from V•••• F•••••••• A•••••••• I•••Jun 19, 2012 · Other
- G•••• E••••• V••• from M••••• S••••••Jan 4, 2011 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• D••••• J•••• · Principal Financial Officer, Principal Operations Officer, Finop & Directorcontrolsince 10/2018 · owns 75% or more
- B••••••• J•••• T••••• · President, Chief Compliance Officercontrolsince 01/1990 · 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 |
|---|---|---|---|---|---|
| East Dundee, Il · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,688 to 700Oct 15, 2024 to Oct 21, 2025
- HNW clients · 138 to 166Oct 15, 2024 to Oct 21, 2025
- Individual clients · 511 to 534Oct 15, 2024 to Oct 21, 2025
- Financial planning clients · More than 500 to More than 500Oct 15, 2024 to Oct 21, 2025
- Discretionary RAUM · $427M to $514MOct 15, 2024 to Oct 21, 2025
- HNW RAUM · $279M to $361MOct 15, 2024 to Oct 21, 2025
- Individual RAUM · $146M to $153MOct 15, 2024 to Oct 21, 2025
- RAUM · $427M to $514MOct 15, 2024 to Oct 21, 2025
- Accounts · 611 to 1,688Oct 4, 2023 to Oct 15, 2024
- HNW clients · 97 to 138Oct 4, 2023 to Oct 15, 2024
- Individual clients · 513 to 511Oct 4, 2023 to Oct 15, 2024
- Discretionary RAUM · $324M to $427MOct 4, 2023 to Oct 15, 2024
- HNW RAUM · $178M to $279MOct 4, 2023 to Oct 15, 2024
- Individual RAUM · $143M to $146MOct 4, 2023 to Oct 15, 2024
- RAUM · $324M to $427MOct 4, 2023 to Oct 15, 2024
- Accounts · 1,456 to 611Oct 7, 2022 to Oct 4, 2023
- HNW clients · 81 to 97Oct 7, 2022 to Oct 4, 2023
- Individual clients · 491 to 513Oct 7, 2022 to Oct 4, 2023
- Discretionary RAUM · $276M to $324MOct 7, 2022 to Oct 4, 2023
- HNW RAUM · $141M to $178MOct 7, 2022 to Oct 4, 2023
- Individual RAUM · $135M to $143MOct 7, 2022 to Oct 4, 2023
- RAUM · $276M to $324MOct 7, 2022 to Oct 4, 2023
- Accounts · 744 to 1,456Aug 18, 2022 to Oct 7, 2022
- Advisory employees · 5 to 4Aug 18, 2022 to Oct 7, 2022
- BD registered reps · 5 to 4Aug 18, 2022 to Oct 7, 2022
- HNW clients · 85 to 81Aug 18, 2022 to Oct 7, 2022
- Individual clients · 659 to 491Aug 18, 2022 to Oct 7, 2022
- Employees · 5 to 4Aug 18, 2022 to Oct 7, 2022
- State-registered IARs · 5 to 4Aug 18, 2022 to Oct 7, 2022
- Discretionary RAUM · $305M to $276MAug 18, 2022 to Oct 7, 2022
- HNW RAUM · $141M to $141MAug 18, 2022 to Oct 7, 2022
- Individual RAUM · $164M to $135MAug 18, 2022 to Oct 7, 2022
- RAUM · $305M to $276MAug 18, 2022 to Oct 7, 2022
- Advisory employees · 4 to 5Oct 6, 2021 to Aug 18, 2022
- BD registered reps · 4 to 5Oct 6, 2021 to Aug 18, 2022
- Employees · 4 to 5Oct 6, 2021 to Aug 18, 2022
- State-registered IARs · 4 to 5Oct 6, 2021 to Aug 18, 2022
- Accounts · 675 to 744Feb 17, 2021 to Oct 6, 2021
- HNW clients · 51 to 85Feb 17, 2021 to Oct 6, 2021
- Individual clients · 624 to 659Feb 17, 2021 to Oct 6, 2021
Signals
3 dated events
- J•••• T• B•••••• • C•• reported RAUM $427.4M, up 32% from $323.7M (2023-10-04 to 2024-10-15)Oct 15, 2024 · RAUM change · derived
- W•••••• P••• C•••• left J•••• T• B•••••• • C•• for N••••• F•••••••• G••••• I••• (registered 2023-03-02)Oct 18, 2022 · Advisor changed firm · fact
- J•••• T• B•••••• • C•• filed its initial SEC registration (Form ADV)Oct 2, 2018 · 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
- 847-426-9601reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 847-426-0200reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 847-426-0200reportedpublic record, Form ADV, Oct 21, 2025
- Contact form
- JAMESTBORELLO.COM/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- JAMESTBORELLO.COM/team-member/daniel-j-borelloreportedpublished 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
- $129Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026