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•••••••• A•••••••• L••

Former SEC-registered adviserNorthfield, IllinoisCRD 171228SEC 801-79644IAPD
Latest filing Jun 9, 2017
First filing on the tape Apr 15, 2014 · 22 filings
RAUM
$87.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$43.5M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$87.0M as of Jan 10, 2017
Mar 26, 2015$100M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Jan 10, 2017
Mar 26, 20154 then
Employees (5.A)3 as of Jan 10, 2017
Mar 26, 20155 then
Private funds: no history
RAUM -4.1% over the last fiscal yearIARs 3 to 2
Practice profile
derived from the filing of Jun 9, 2017; every figure names its basis
RAUM per advisor
$43.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$318,776derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-4.1%derivedbetween the last two annual amendments
Advisor growth, one year
-33%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, pension consultingreportedItem 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
273reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
T•••• J••••• P•••Northfield, IlJun 25, 201415 y1
R••••• J•• F••Northfield, IlJun 25, 201440 y2
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • F••• R•••••• J•• · Managing Membercontrol
      since 04/2014 · owns 10% to 25%
    • P•••• T••••• J••••• · Ccocontrol
      since 08/2016 · owns less than 5%
    • S••••••••• S•••••• E••• · Membercontrol
      since 04/2014 · owns 10% to 25%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Northfield, Il · principal200
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 300 to 273
      Dec 12, 2016 to Jan 10, 2017
    • Advisory employees · 3 to 2
      Dec 12, 2016 to Jan 10, 2017
    • State-registered IARs · 3 to 2
      Dec 12, 2016 to Jan 10, 2017
    • Discretionary RAUM · $89.9M to $87.0M
      Dec 12, 2016 to Jan 10, 2017
    • Non-discretionary RAUM · $800,000 to $0
      Dec 12, 2016 to Jan 10, 2017
    • RAUM · $90.7M to $87.0M
      Dec 12, 2016 to Jan 10, 2017
    • Advisory activities · 1 to 2
      Jun 21, 2016 to Dec 12, 2016
    • Employees · 4 to 3
      Jun 21, 2016 to Dec 12, 2016
    • Accounts · 175 to 300
      Sep 22, 2015 to Jan 11, 2016
    • Discretionary RAUM · $100M to $89.9M
      Sep 22, 2015 to Jan 11, 2016
    • Non-discretionary RAUM · $0 to $800,000
      Sep 22, 2015 to Jan 11, 2016
    • RAUM · $100M to $90.7M
      Sep 22, 2015 to Jan 11, 2016
    • Advisory employees · 4 to 3
      Mar 26, 2015 to Sep 17, 2015
    • Employees · 5 to 4
      Mar 26, 2015 to Sep 17, 2015
    • State-registered IARs · 4 to 3
      Mar 26, 2015 to Sep 17, 2015
    • Accounts · 40 to 175
      Aug 19, 2014 to Mar 26, 2015
    • Advisory employees · 3 to 4
      Aug 19, 2014 to Mar 26, 2015
    • Advisory activities · 2 to 1
      Aug 19, 2014 to Mar 26, 2015
    • BD registered reps · 2 to 0
      Aug 19, 2014 to Mar 26, 2015
    • Financial planning clients · 0 to unset
      Aug 19, 2014 to Mar 26, 2015
    • State-registered IARs · 5 to 4
      Aug 19, 2014 to Mar 26, 2015
    • Discretionary RAUM · $101M to $100M
      Aug 19, 2014 to Mar 26, 2015
    • RAUM · $101M to $100M
      Aug 19, 2014 to Mar 26, 2015
    • Accounts · 0 to 40
      Jun 25, 2014 to Aug 19, 2014
    • Discretionary RAUM · $0 to $101M
      Jun 25, 2014 to Aug 19, 2014
    • RAUM · $0 to $101M
      Jun 25, 2014 to Aug 19, 2014
    • Business name · E•• W••••• M••••••••• to C•••••••• A•••••••• L••
      May 28, 2014 to Jun 25, 2014
    • Legal name · PARKINS, THOMAS J••••• to C•••••••• A•••••••• L••
      May 28, 2014 to Jun 25, 2014
    • HQ city · GLENCOE to NORTHFIELD
      May 27, 2014 to May 28, 2014
    Signals
    1 dated events
    • E•• W••••• M••••••••• filed its initial SEC registration (Form ADV)
      Apr 15, 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
    Website
    C••••••••ADVISORS.COMreportedpublic record, Form ADV, Sep 18, 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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $43.5Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026