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••••••• A•••• M••••••••• L••
Latest filing Aug 25, 2026
First filing on the tape Jun 18, 2018 · 22 filings
SEC status approved since Jul 19, 2018
RAUM
$249M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
100%
$248M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$62.2M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$249M as of Aug 25, 2026
Mar 8, 2019$163M then
HNW client RAUM$224M as of Aug 25, 2026
Mar 8, 2019$138M then
State-registered IARs (5.B.3)4 as of Aug 25, 2026
Mar 8, 20193 then
Employees (5.A)5 as of Aug 25, 2026
Mar 8, 20193 then
Private funds: no history
RAUM +13% over the last fiscal year+9.6% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Aug 25, 2026; every figure names its basis
- RAUM per advisor
- $62.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 39derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $681,247derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.0derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, 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$224M90%
- Individuals$23.0M9.3%
- Charitable organizations$1.2M0.5%
- Individual clients
- 85reported
- HNW clients
- 70reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 365reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 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
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••• J• M••• | Naperville, Il | Apr 15, 2015 | 11 y | 0 |
| B••••• J•••• C••• | Omaha, Ne | Nov 30, 2015 | 26 y | 2 |
| M•••••• J••••• L•••••Chartered Financial Analyst | Naperville, Il | Nov 16, 2022 | 20 y | 1 |
| C•••••••• E•••••••• L••••• | Naperville, Il | Jul 14, 2023 | 10 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
none on the tape
Joined, latest
- M•••••• J••••• L••••• from S•••••• I••••••••• M••••••••• L••Nov 16, 2022 · Other
- B••••• J•••• C••• from U•• F•••••••• S••••••• I•••Nov 30, 2015 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••• T•••• J• · Chief Compliance Officercontrolsince 02/2015 · owns less than 5%
- C•••• B•••••• J•••• · Sole Membercontrolsince 11/2015 · owns 75% or more of D••••••• A•••• M••••••••• L••
- L•••••• M••••••• J••••• · Sole Membercontrolsince 02/2018 · owns 75% or more of S•••••• I••••••••• M••••••••• L••
- M•••• T•••• J• · Sole Membercontrolsince 02/2015 · owns 75% or more of G•••••••• L••
Entity owners
- D••••••• A•••• M••••••••• L•• · Memberdirect · owns 25% to 50%
- G•••••••• L•• · Memberdirect · owns 25% to 50%
- S•••••• I••••••••• M••••••••• L•• · Memberdirect · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Naperville, Il · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Chicago, IL1 employees
- Omaha, NE1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Other offices · 4 to 3Mar 24, 2026 to May 27, 2026
- Accounts · 340 to 365Jul 28, 2025 to Mar 24, 2026
- Advisory activities · 1 to 2Jul 28, 2025 to Mar 24, 2026
- Charity clients · unset to 1.0Jul 28, 2025 to Mar 24, 2026
- HNW clients · 68 to 70Jul 28, 2025 to Mar 24, 2026
- Individual clients · 84 to 85Jul 28, 2025 to Mar 24, 2026
- Employees · 4 to 5Jul 28, 2025 to Mar 24, 2026
- Other offices · 3 to 4Jul 28, 2025 to Mar 24, 2026
- Discretionary RAUM · $203M to $229MJul 28, 2025 to Mar 24, 2026
- HNW RAUM · $201M to $224MJul 28, 2025 to Mar 24, 2026
- Individual RAUM · $18.2M to $23.0MJul 28, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $17.5M to $20.0MJul 28, 2025 to Mar 24, 2026
- RAUM · $220M to $249MJul 28, 2025 to Mar 24, 2026
- Financial planning clients · 0 to 0Mar 21, 2025 to Jul 28, 2025
- Accounts · 328 to 340Jun 24, 2024 to Mar 21, 2025
- HNW clients · 67 to 68Jun 24, 2024 to Mar 21, 2025
- Individual clients · 77 to 84Jun 24, 2024 to Mar 21, 2025
- Discretionary RAUM · $191M to $203MJun 24, 2024 to Mar 21, 2025
- HNW RAUM · $190M to $201MJun 24, 2024 to Mar 21, 2025
- Individual RAUM · $17.3M to $18.2MJun 24, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $17.2M to $17.5MJun 24, 2024 to Mar 21, 2025
- RAUM · $208M to $220MJun 24, 2024 to Mar 21, 2025
- Accounts · 329 to 328Oct 20, 2023 to Feb 14, 2024
- Advisory employees · 3 to 4Oct 20, 2023 to Feb 14, 2024
- HNW clients · 69 to 67Oct 20, 2023 to Feb 14, 2024
- Individual clients · 72 to 77Oct 20, 2023 to Feb 14, 2024
- Employees · 3 to 4Oct 20, 2023 to Feb 14, 2024
- Financial planning clients · unset to 0Oct 20, 2023 to Feb 14, 2024
- State-registered IARs · 3 to 4Oct 20, 2023 to Feb 14, 2024
- Other offices · 2 to 3Oct 20, 2023 to Feb 14, 2024
- Discretionary RAUM · $173M to $191MOct 20, 2023 to Feb 14, 2024
- HNW RAUM · $175M to $190MOct 20, 2023 to Feb 14, 2024
- Individual RAUM · $13.2M to $17.3MOct 20, 2023 to Feb 14, 2024
- Non-discretionary RAUM · $16.0M to $17.2MOct 20, 2023 to Feb 14, 2024
- RAUM · $189M to $208MOct 20, 2023 to Feb 14, 2024
- Accounts · 321 to 329Nov 7, 2022 to Mar 30, 2023
- Charity clients · 1.0 to unsetNov 7, 2022 to Mar 30, 2023
- HNW clients · 87 to 69Nov 7, 2022 to Mar 30, 2023
- Individual clients · 87 to 72Nov 7, 2022 to Mar 30, 2023
- Financial planning clients · 0 to unsetNov 7, 2022 to Mar 30, 2023
Signals
1 dated events
- L••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 18, 2018 · 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
- L•••••••ASSET.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 312-543-1772reportedpublic record, Form ADV, Aug 25, 2026
- Team page
- l•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $62.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026