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
F••••• C•••••• M••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape May 20, 2014 · 31 filings
SEC status approved since May 27, 2014
RAUM
$3.8B
reported, Item 5.F
Discretionary
40%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$625M
derived; firm RAUM over IAPD count
Employees
11
8 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$3.8B as of Mar 27, 2026
Feb 23, 2015$178M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Feb 23, 20152 then
Employees (5.A)11 as of Mar 27, 2026
Feb 23, 20156 then
Private funds: no history
RAUM +28% over the last fiscal year+34% a year over threeIARs 0 to 0offices 3 to 4
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $625MderivedRAUM 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
- $31.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 40%derivedof RAUM
- Institutional
- 100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 1.2derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +28%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 feesreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, pension consulting, educational seminarsreportedItem 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
- 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
- Pension and profit-sharing plans$3.7B98%
- State and municipal entities$59.2M1.6%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 117reported
- Charitable clients
- n/areported
- Accounts
- 118reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• C••••• J••••• | Chicago, Il | Jul 23, 2015 | 11 y | 0 |
| M•••••• M••••• G•••• | Chicago, Il | Feb 1, 2019 | 14 y | 0 |
| S•••• J••••• D•••• | Chicago, Il | Aug 17, 2020 | 11 y | 0 |
| T••••• J•••••• | Chicago, Il | Jul 17, 2022 | 10 y | 0 |
| H•••• J••• P•••• H••••• | San Tan Valley, Az | Jun 1, 2023 | 13 y | 0 |
| K•••••• B•••••• | Chicago, Il | Sep 20, 2024 | 13 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
- B••••••• T••••• O•••• to F•••••••• P•••••••• L••Oct 22, 2019 · Other
- C•••••• M•••• W•••••• to F•••••••• P•••••••• L••Oct 22, 2019 · Other
Joined, latest
- B••••••• T••••• O•••• from E••••• F•••••••• G••••Jun 30, 2014 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for F•••••••• P•••••••• L••Oct 22, 2019 · Chicago, Il
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••• M••••••• M••••• · Senior Vice President & Chief Compliance Officercontrolsince 04/2018 · owns less than 5%
- J•••••• B••••• C••••• · Presidentcontrolsince 05/2018 · owns 10% to 25%
- M•••••• M••••••• B•••• · Managing Membercontrolsince 05/2018 · owns 5% to 10%
- G•••••••• N•••••••• T••••• · Membercontrolsince 05/2014 · owns F of M••• H••••••• L••
Entity owners
- M••• H••••••• L•• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- H•• I••••••••• C••••••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Chicago, Il · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Chicago, IL3 employees
- , 1 employees
What changed
consecutive filings, newest first
- HQ city · NAPLES to CHICAGOJan 14, 2026 to Mar 27, 2026
- HQ state · FL to ILJan 14, 2026 to Mar 27, 2026
- Accounts · 109 to 118Feb 7, 2025 to Jan 14, 2026
- Advisory employees · 6 to 8Feb 7, 2025 to Jan 14, 2026
- Pension plan clients · 108 to 117Feb 7, 2025 to Jan 14, 2026
- Employees · 10 to 11Feb 7, 2025 to Jan 14, 2026
- Other offices · 3 to 4Feb 7, 2025 to Jan 14, 2026
- Discretionary RAUM · $1.3B to $1.5BFeb 7, 2025 to Jan 14, 2026
- Non-discretionary RAUM · $1.6B to $2.3BFeb 7, 2025 to Jan 14, 2026
- Pension RAUM · $2.9B to $3.7BFeb 7, 2025 to Jan 14, 2026
- RAUM · $2.9B to $3.8BFeb 7, 2025 to Jan 14, 2026
- Accounts · 102 to 109Nov 5, 2024 to Feb 7, 2025
- Pension plan clients · 102 to 108Nov 5, 2024 to Feb 7, 2025
- Financial planning clients · unset to Nov 5, 2024 to Feb 7, 2025
- Discretionary RAUM · $650M to $1.3BNov 5, 2024 to Feb 7, 2025
- Non-discretionary RAUM · $1.4B to $1.6BNov 5, 2024 to Feb 7, 2025
- Pension RAUM · $2.0B to $2.9BNov 5, 2024 to Feb 7, 2025
- RAUM · $2.0B to $2.9BNov 5, 2024 to Feb 7, 2025
- Advisory employees · 7 to 6Feb 12, 2024 to May 24, 2024
- Employees · 11 to 10Feb 12, 2024 to May 24, 2024
- Other offices · 4 to 3Feb 12, 2024 to May 24, 2024
- Accounts · 94 to 102Feb 1, 2024 to Feb 12, 2024
- Advisory employees · 5 to 7Feb 1, 2024 to Feb 12, 2024
- Pension plan clients · 94 to 102Feb 1, 2024 to Feb 12, 2024
- Employees · 10 to 11Feb 1, 2024 to Feb 12, 2024
- Other offices · 3 to 4Feb 1, 2024 to Feb 12, 2024
- Discretionary RAUM · $456M to $650MFeb 1, 2024 to Feb 12, 2024
- Non-discretionary RAUM · $1.1B to $1.4BFeb 1, 2024 to Feb 12, 2024
- Pension RAUM · $1.6B to $2.0BFeb 1, 2024 to Feb 12, 2024
- RAUM · $1.6B to $2.0BFeb 1, 2024 to Feb 12, 2024
- Accounts · 90 to 94Dec 5, 2022 to Feb 21, 2023
- Advisory activities · 2 to 3Dec 5, 2022 to Feb 21, 2023
- Pension plan clients · 90 to 94Dec 5, 2022 to Feb 21, 2023
- Discretionary RAUM · $490M to $456MDec 5, 2022 to Feb 21, 2023
- Non-discretionary RAUM · $1.1B to $1.1BDec 5, 2022 to Feb 21, 2023
- Pension RAUM · $1.6B to $1.6BDec 5, 2022 to Feb 21, 2023
- RAUM · $1.6B to $1.6BDec 5, 2022 to Feb 21, 2023
- Advisory employees · 4 to 5Mar 22, 2022 to Jun 30, 2022
- Other offices · 1 to 3Mar 22, 2022 to Jun 30, 2022
- Accounts · 77 to 90Mar 10, 2021 to Mar 22, 2022
Signals
8 dated events
- F••••• C•••••• M••••••••• L•• reported RAUM $3.8B, up 28% from $2.9B (2025-02-07 to 2026-01-14)Jan 14, 2026 · RAUM change · derived
- F••••• C•••••• M••••••••• L•• reported RAUM $2.9B, up 44% from $2.0B (2024-11-05 to 2025-02-07)Feb 7, 2025 · RAUM change · derived
- F••••• C•••••• M••••••••• L•• reported RAUM $2.0B, up 30% from $1.6B (2024-02-01 to 2024-02-12)Feb 12, 2024 · RAUM change · derived
- F••••• C•••••• M••••••••• L•• reported RAUM $1.6B, up 69% from $965.3M (2021-03-10 to 2022-03-22)Mar 22, 2022 · RAUM change · derived
- F••••• C•••••• M••••••••• L•• reported RAUM $914.0M, up 55% from $590.8M (2019-12-24 to 2020-03-16)Mar 16, 2020 · RAUM change · derived
- F••••• C•••••• M••••••••• L•• reported RAUM $590.8M, down 27% from $807.7M (2018-10-15 to 2019-03-25)Mar 25, 2019 · RAUM change · derived
- F••••• C•••••• M••••••••• L•• reported RAUM $807.7M, up 43% from $565.0M (2017-03-30 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
- F••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)May 20, 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
- F•••••CAPITALMANAGEMENT.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-809-6010reportedpublic record, Form ADV, Mar 27, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $625Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026