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

L••••••• W••••• M••••••••• L••

Independent wealth managerGlen Ellyn, IllinoisCRD 172519SEC 801-136080websiteIAPD
Latest filing May 1, 2026
First filing on the tape Mar 31, 2026 · 2 filings
SEC status approved since Apr 29, 2026
RAUM
$122M
reported, Item 5.F
Discretionary
69%
of RAUM
Private clients
88%
$108M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$24.4M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
5
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$122M as of May 1, 2026
Mar 31, 2026$122M then
HNW client RAUM$108M as of May 1, 2026
Mar 31, 2026$108M then
State-registered IARs (5.B.3)4 as of May 1, 2026
Mar 31, 20264 then
Employees (5.A)6 as of May 1, 2026
Mar 31, 20266 then
Private funds5 as of May 1, 2026
Mar 31, 20265 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 1, 2026; every figure names its basis
Archetypes, each a printed rule
  • RIA with heavy alternatives · a wealth manager whose private fund gross assets are at least 25 percent of RAUM, or five or more private funds
  • RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
RAUM per advisor
$24.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.2MderivedHNW RAUM over HNW clients
Average account
$1.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
69%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
1.3derived4 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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
financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody
$14.3M, 5 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$108M88%
  • Pooled investment vehicles$14.3M12%
  • Individuals$20,8990.0%
Individual clients
n/areported
HNW clients
34reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
117reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
$14.3M for 5 clientsreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=0.88 fund_share=0.12 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J••••••• S•••• B••••••Certified Financial PlannerGlen Ellyn, IlSep 22, 201425 y6
L•••••• R•• F•••••••••Certified Financial PlannerGlen Ellyn, IlJun 7, 201612 y0
P•••••• R••• O••••••••Nashville, Tn May 5, 202011 y0
Z•••••• T••• L••••••••Lake Elmo, Mn Mar 1, 202112 y0
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • B••••••• J•••••••• S•••• · Managing Membercontrol
    since 07/2014 · owns 75% or more
  • S••••••••• G•••• J••••• · Chief Compliance Officer
    since 07/2014 · owns less than 5%
  • S••••••••• R••••••• J•• · Member
    since 04/2016 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Glen Ellyn, Il · principal500
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Other offices · 0 to 3
    Mar 31, 2026 to May 1, 2026
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
How to reach
public business contact points only, each with its source
Firm profile
linkedin.com/company/laureate-wealthreportedpublic record, Form ADV, Sep 18, 2026
Website
laureate-capital.comreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone
312-300-6765reportedpublic record, Form ADV, May 1, 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
$24.4Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026