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
C••••••• F•••••••• P•••••••• I•••
Latest filing Jul 28, 2026
First filing on the tape Jul 2, 2021 · 12 filings
SEC status approved since Aug 4, 2021
RAUM
$217M
reported, Item 5.F
Discretionary
86%
of RAUM
Private clients
89%
$192M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$109M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$217M as of Jul 28, 2026
Mar 31, 2022$120M then
HNW client RAUM$17.1M as of Jul 28, 2026
Mar 31, 2022$82.5M then
State-registered IARs (5.B.3)2 as of Jul 28, 2026
Mar 31, 20222 then
Employees (5.A)2 as of Jul 28, 2026
Mar 31, 20222 then
Private funds: no history
RAUM +29% over the last fiscal year+23% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jul 28, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $109MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 55derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $427,775derivedHNW RAUM over HNW clients
- Average account
- $387,648derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 86%derivedof RAUM
- Institutional
- 10%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +29%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.8%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$175M81%
- Pension and profit-sharing plans$19.3M8.9%
- High-net-worth individuals$17.1M7.9%
- Corporations and businesses$3.0M1.4%
- Charitable organizations$2.4M1.1%
- Individual clients
- 69reported
- HNW clients
- 40reported
- Pension plan clients
- 3reported
- Charitable clients
- 1reported
- Accounts
- 560reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.1 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• F•••••• C•••••••Certified Financial Planner | Burlington, Vt | Apr 21, 2015 | 15 y | 1 |
| P••• D•••••• C••••••• | Arlington Heights, Il | Mar 27, 2019 | 11 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
- R••••• F•••••• C••••••• from S••••• C•••••• M••••••••• I••Apr 21, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• R•••••• F•••••• · Principalcontrolsince 03/2015 · owns 50% to 75%
- C•••••••• P•••• D•••••• · Chief Compliance Officer, Partnersince 03/2019 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Chicago, IL1 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 10, 2026HNW share of RAUM moved from 71.0% to 8.0% between the annual amendments of 2025-03-14 and 2026-03-10peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 575 to 560Mar 14, 2025 to Mar 10, 2026
- HNW clients · 47 to 40Mar 14, 2025 to Mar 10, 2026
- Individual clients · 64 to 69Mar 14, 2025 to Mar 10, 2026
- Discretionary RAUM · $144M to $186MMar 14, 2025 to Mar 10, 2026
- HNW RAUM · $120M to $17.1MMar 14, 2025 to Mar 10, 2026
- Individual RAUM · $28.0M to $175MMar 14, 2025 to Mar 10, 2026
- Non-discretionary RAUM · $24.1M to $31.3MMar 14, 2025 to Mar 10, 2026
- Pension RAUM · $16.5M to $19.3MMar 14, 2025 to Mar 10, 2026
- RAUM · $168M to $217MMar 14, 2025 to Mar 10, 2026
- Accounts · 456 to 575Feb 3, 2025 to Mar 14, 2025
- Corporate clients · unset to 4.0Feb 3, 2025 to Mar 14, 2025
- HNW clients · 42 to 47Feb 3, 2025 to Mar 14, 2025
- Individual clients · 59 to 64Feb 3, 2025 to Mar 14, 2025
- Pension plan clients · 4 to 3Feb 3, 2025 to Mar 14, 2025
- Pooled vehicle clients · unset to 0.0Feb 3, 2025 to Mar 14, 2025
- Financial planning clients · 51-100 to 101-250Feb 3, 2025 to Mar 14, 2025
- Discretionary RAUM · $119M to $144MFeb 3, 2025 to Mar 14, 2025
- HNW RAUM · $94.7M to $120MFeb 3, 2025 to Mar 14, 2025
- Individual RAUM · $25.5M to $28.0MFeb 3, 2025 to Mar 14, 2025
- Non-discretionary RAUM · $21.0M to $24.1MFeb 3, 2025 to Mar 14, 2025
- Pension RAUM · $18.0M to $16.5MFeb 3, 2025 to Mar 14, 2025
- Pooled vehicle RAUM · unset to 0.0Feb 3, 2025 to Mar 14, 2025
- RAUM · $140M to $168MFeb 3, 2025 to Mar 14, 2025
- HQ city · ARLINGTON HEIGHTS to Feb 29, 2024 to Feb 3, 2025
- HQ state · IL to Feb 29, 2024 to Feb 3, 2025
- Accounts · 392 to 456Mar 15, 2023 to Feb 29, 2024
- HNW clients · 37 to 42Mar 15, 2023 to Feb 29, 2024
- HQ city · BEND to ARLINGTON HEIGHTSMar 15, 2023 to Feb 29, 2024
- HQ state · OR to ILMar 15, 2023 to Feb 29, 2024
- Other offices · 3 to 2Mar 15, 2023 to Feb 29, 2024
- Discretionary RAUM · $90.9M to $119MMar 15, 2023 to Feb 29, 2024
- HNW RAUM · $75.9M to $94.7MMar 15, 2023 to Feb 29, 2024
- Individual RAUM · $26.1M to $25.5MMar 15, 2023 to Feb 29, 2024
- Non-discretionary RAUM · $24.8M to $21.0MMar 15, 2023 to Feb 29, 2024
- Pension RAUM · $12.1M to $18.0MMar 15, 2023 to Feb 29, 2024
- RAUM · $116M to $140MMar 15, 2023 to Feb 29, 2024
- Accounts · 333 to 392Nov 29, 2022 to Mar 15, 2023
- HNW clients · 29 to 37Nov 29, 2022 to Mar 15, 2023
- Individual clients · 40 to 59Nov 29, 2022 to Mar 15, 2023
- Pension plan clients · 5 to 4Nov 29, 2022 to Mar 15, 2023
Signals
1 dated events
- C••••••• F•••••••• P•••••••• I••• filed its initial SEC registration (Form ADV)Jul 2, 2021 · 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
- Firm profile
- linkedin.com/company/costello-financial-planningreportedpublic record, Form ADV, Sep 19, 2026
- Website
- C•••••••FINANCIALP•••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 847-894-2067reportedpublic record, Form ADV, Jul 28, 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
- $109Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026