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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Latest filing Mar 30, 2023
First filing on the tape Aug 24, 2017 · 18 filings
RAUM
$100M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
73%
$73.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$100M as of Mar 30, 2023
Mar 28, 2018$117M then
HNW client RAUM$52.0M as of Mar 30, 2023
Mar 28, 2018$49.0M then
State-registered IARs (5.B.3)2 as of Mar 30, 2023
Mar 28, 20183 then
Employees (5.A)3 as of Mar 30, 2023
Mar 28, 20185 then
Private funds: 1
RAUM +11% over the last fiscal year+3.6% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 30, 2023; every figure names its basis
- RAUM per advisor
- $50.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 35derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $945,455derivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 17%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +35%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$52.0M58%
- Individuals$21.2M24%
- Charitable organizations$16.6M18%
- Individual clients
- 15reported
- HNW clients
- 55reported
- Pension plan clients
- n/areported
- Charitable clients
- 3reported
- Accounts
- 74reported
- Financial planning clients
- 0reported
- 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
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- D••••• B•••• W••••••••• to M•••• A•••••• P•••••••• L••Sep 26, 2023 · Other
- R•••••• P•••• B••••• to M•••• A•••••• P•••••••• L••Sep 26, 2023 · Other
Joined, latest
- R•••••• P•••• B••••• from S•••• B•••••• A•••• M••••••••• L••Apr 1, 2016 · Other
- D••••• B•••• W••••••••• from W••••••••• P•••••••• L••Jul 29, 2014 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B••••••• U• E•••••no longer reported | Hedge Fund | $31.0M | 20 | Mar 1, 2018 |
Owners and control persons
Schedule A and B, latest filing
- W••••••••• D•••••• B•••• · Managing Member, Ceo And Ccocontrolsince 07/2014 · owns less than 5%
- W••••••••• D•••••• B•••• · Managing Membercontrolsince 12/2018 · owns 50% to 75% of W••••••••• P•••••••• L••
Entity owners
- W••••••••• P•••••••• L•• · Ownerdirect · owns 75% or more
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 |
|---|---|---|---|---|---|
| San Marino, Ca | 0 | 0 | 0 | ||
| Winnetka, Il | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- San Marino, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 73 to 74Jun 3, 2022 to Mar 30, 2023
- Charity clients · 2 to 3Jun 3, 2022 to Mar 30, 2023
- HNW clients · 21 to 55Jun 3, 2022 to Mar 30, 2023
- Individual clients · 31 to 15Jun 3, 2022 to Mar 30, 2023
- Discretionary RAUM · $90.0M to $100MJun 3, 2022 to Mar 30, 2023
- HNW RAUM · $52.2M to $52.0MJun 3, 2022 to Mar 30, 2023
- Individual RAUM · $20.0M to $21.2MJun 3, 2022 to Mar 30, 2023
- RAUM · $90.0M to $100MJun 3, 2022 to Mar 30, 2023
- Accounts · 55 to 73Sep 7, 2021 to Mar 31, 2022
- Corporate clients · 1.0 to unsetSep 7, 2021 to Mar 31, 2022
- HNW clients · 14 to 21Sep 7, 2021 to Mar 31, 2022
- Individual clients · 38 to 31Sep 7, 2021 to Mar 31, 2022
- Employees · 4 to 3Sep 7, 2021 to Mar 31, 2022
- Discretionary RAUM · $96.0M to $90.0MSep 7, 2021 to Mar 31, 2022
- HNW RAUM · $55.0M to $52.2MSep 7, 2021 to Mar 31, 2022
- Individual RAUM · $30.0M to $20.0MSep 7, 2021 to Mar 31, 2022
- RAUM · $96.0M to $90.0MSep 7, 2021 to Mar 31, 2022
- HQ city · CHICAGO to unsetMar 12, 2021 to Sep 7, 2021
- HQ state · IL to unsetMar 12, 2021 to Sep 7, 2021
- Accounts · 65 to 55Jun 29, 2020 to Mar 12, 2021
- Corporate clients · 2 to 1Jun 29, 2020 to Mar 12, 2021
- HNW clients · 31 to 14Jun 29, 2020 to Mar 12, 2021
- Individual clients · 24 to 38Jun 29, 2020 to Mar 12, 2021
- Discretionary RAUM · $90.0M to $96.0MJun 29, 2020 to Mar 12, 2021
- HNW RAUM · $60.0M to $55.0MJun 29, 2020 to Mar 12, 2021
- Individual RAUM · $25.0M to $30.0MJun 29, 2020 to Mar 12, 2021
- RAUM · $90.0M to $96.0MJun 29, 2020 to Mar 12, 2021
- HNW RAUM · $62.0M to $60.0MMar 30, 2020 to Jun 9, 2020
- Individual RAUM · $23.0M to $25.0MMar 30, 2020 to Jun 9, 2020
- Discretionary RAUM · $66.9M to $90.0MOct 30, 2019 to Mar 30, 2020
- HNW RAUM · $50.9M to $62.0MOct 30, 2019 to Mar 30, 2020
- Individual RAUM · $10.9M to $23.0MOct 30, 2019 to Mar 30, 2020
- RAUM · $66.9M to $90.0MOct 30, 2019 to Mar 30, 2020
- Charity clients · unset to 2.0Jan 30, 2019 to Oct 30, 2019
- Corporate clients · 1 to 2Jan 30, 2019 to Oct 30, 2019
- HNW clients · 33 to 31Jan 30, 2019 to Oct 30, 2019
- Individual clients · 12 to 24Jan 30, 2019 to Oct 30, 2019
- Discretionary RAUM · $42.2M to $66.9MJan 30, 2019 to Oct 30, 2019
- HNW RAUM · $37.5M to $50.9MJan 30, 2019 to Oct 30, 2019
- Individual RAUM · $4.5M to $10.9MJan 30, 2019 to Oct 30, 2019
Signals
3 dated events
- D••••• B•••• W••••••••• left A•• L•••• L•• for M•••• A•••••• P•••••••• L•• (registered 2023-07-21)Sep 26, 2023 · Advisor changed firm · fact
- R•••••• P•••• B••••• left A•• L•••• L•• for M•••• A•••••• P•••••••• L•• (registered 2023-07-21)Sep 26, 2023 · Advisor changed firm · fact
- B••••••• C••••••• L•• filed its initial SEC registration (Form ADV)Aug 24, 2017 · 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.
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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026