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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Latest filing Feb 23, 2026
First filing on the tape Sep 20, 2017 · 26 filings
SEC status approved since Oct 25, 2017
RAUM
$168M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$163M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$168M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$168M as of Feb 23, 2026
Mar 27, 2018$111M then
HNW client RAUM$163M as of Feb 23, 2026
Mar 27, 2018$111M then
State-registered IARs (5.B.3)1 as of Feb 23, 2026
Mar 27, 20181 then
Employees (5.A)1 as of Feb 23, 2026
Mar 27, 20181 then
Private funds: no history
RAUM +0.4% over the last fiscal year+12% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 23, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $168MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $14.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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
- High-net-worth individuals$163M97%
- Charitable organizations$4.6M2.7%
- Individuals$409,0000.2%
- Individual clients
- n/areported
- HNW clients
- 97reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 12reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• J• F••• | Wilmette, Il | Jan 16, 2015 | 14 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
- X••••• G• to F•••••••• C•••••• M••••••••• L••Dec 8, 2017 · Other
Joined, latest
- X••••• G• from W•••• F•••• A•••••••Nov 29, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••• R•••••• · Managing Membercontrolsince 10/2014 · owns 75% or more
- C••••••• J••••• E•••••••• · Partnersince 07/2022 · owns 10% to 25%
- S••••••••• G•••• J••••• · Chief Compliance Officersince 11/2014 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 22 to 12Mar 17, 2025 to Feb 23, 2026
- HNW clients · 7 to 97Mar 17, 2025 to Feb 23, 2026
- Discretionary RAUM · $167M to $168MMar 17, 2025 to Feb 23, 2026
- HNW RAUM · $158M to $163MMar 17, 2025 to Feb 23, 2026
- Individual RAUM · $100,935 to $409,000Mar 17, 2025 to Feb 23, 2026
- RAUM · $167M to $168MMar 17, 2025 to Feb 23, 2026
- Individual RAUM · unset to 100935.0Dec 23, 2024 to Mar 17, 2025
- RAUM · $166M to $167MDec 23, 2024 to Mar 17, 2025
- Accounts · 32 to 22Dec 23, 2024 to Mar 17, 2025
- HNW clients · 6 to 7Dec 23, 2024 to Mar 17, 2025
- Individual clients · 0.0 to unsetDec 23, 2024 to Mar 17, 2025
- Financial planning clients · 0 to 0Dec 23, 2024 to Mar 17, 2025
- HQ city · unset to Dec 23, 2024 to Mar 17, 2025
- HQ state · unset to Dec 23, 2024 to Mar 17, 2025
- Discretionary RAUM · $166M to $167MDec 23, 2024 to Mar 17, 2025
- HNW RAUM · $157M to $158MDec 23, 2024 to Mar 17, 2025
- Accounts · 17 to 32Dec 26, 2023 to Feb 13, 2024
- Advisory activities · 2 to 1Dec 26, 2023 to Feb 13, 2024
- HNW clients · 7 to 6Dec 26, 2023 to Feb 13, 2024
- Individual clients · unset to 0.0Dec 26, 2023 to Feb 13, 2024
- Employees · 2 to 1Dec 26, 2023 to Feb 13, 2024
- Discretionary RAUM · $118M to $166MDec 26, 2023 to Feb 13, 2024
- HNW RAUM · $110M to $157MDec 26, 2023 to Feb 13, 2024
- Individual RAUM · 37992.0 to unsetDec 26, 2023 to Feb 13, 2024
- RAUM · $118M to $166MDec 26, 2023 to Feb 13, 2024
- Accounts · 34 to 17Jan 20, 2023 to Feb 23, 2023
- Charity clients · 0.0 to unsetJan 20, 2023 to Feb 23, 2023
- HNW clients · 6 to 7Jan 20, 2023 to Feb 23, 2023
- Employees · 3 to 2Jan 20, 2023 to Feb 23, 2023
- Discretionary RAUM · $152M to $118MJan 20, 2023 to Feb 23, 2023
- HNW RAUM · $152M to $110MJan 20, 2023 to Feb 23, 2023
- Individual RAUM · $46,100 to $37,992Jan 20, 2023 to Feb 23, 2023
- RAUM · $152M to $118MJan 20, 2023 to Feb 23, 2023
- Accounts · 43 to 34Dec 8, 2021 to Jan 25, 2022
- Charity clients · unset to 0.0Dec 8, 2021 to Jan 25, 2022
- Discretionary RAUM · $130M to $152MDec 8, 2021 to Jan 25, 2022
- HNW RAUM · $119M to $152MDec 8, 2021 to Jan 25, 2022
- Individual RAUM · $478,100 to $46,100Dec 8, 2021 to Jan 25, 2022
- RAUM · $130M to $152MDec 8, 2021 to Jan 25, 2022
- Employees · 1 to 3Oct 22, 2021 to Dec 8, 2021
Signals
1 dated events
- L•••• P•••• L•• filed its initial SEC registration (Form ADV)Sep 20, 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 846-635-3951reportedpublic record, Form ADV, Feb 23, 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
- $168Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026