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.

Former SEC-registered adviser

David A. Noyes & Company

Former SEC-registered adviserChicago, IllinoisCRD 205SEC 801-67588IAPD
Latest filing Mar 5, 2015
First filing on the tape Oct 5, 2012 · 13 filings
RAUM
$501M
reported, Item 5.F
Discretionary
56%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
103
54 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$501M as of Mar 5, 2015
Oct 5, 2012$134M then
HNW client RAUM: no history
State-registered IARs (5.B.3)54 as of Mar 5, 2015
Oct 5, 20120 then
Employees (5.A)103 as of Mar 5, 2015
Oct 17, 201379 then
Private funds: no history
RAUM +99% over the last fiscal yearIARs 53 to 54
Practice profile
derived from the filing of Mar 5, 2015; every figure names its basis
RAUM per advisor
$9.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$311,683derivedRAUM over accounts (5.F.2.f)
Discretionary
56%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.9derivedItem 5.A over advisors
Advisors per office
6.8derived8 offices incl. principal (1.F.5)
RAUM growth, one year
+99%derivedbetween the last two annual amendments
Advisor growth, one year
+1.9%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, educational seminarsreportedItem 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
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • 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)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,606reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Lowry Hinch Bayley · Chairman Of The Boardcontrol
      since 03/1978 · owns 25% to 50%
    • Dominic Conenna · Chief Financial Officercontrol
      since 06/2014 · owns less than 5%
    • Robert Lynn Cram · Vp/Director/General Counselcontrol
      since 02/1992 · owns less than 5%
    • Mark William Damer · Chief Executive Officer & Presidentcontrol
      since 11/2013 · owns less than 5%
    • Matthew Mark Reynolds · Chief Compliance Officer, Chief Operating Officercontrol
      since 08/2014 · owns less than 5%
    • Cheryl A Bayley-Young · Trusteecontrol
      since 11/2012 · owns 50% to 75% of Frank M Bayley Dynastry Trust
    • Mark F Bayley · Trusteecontrol
      since 11/2012 · owns 50% to 75% of Frank M Bayley Dynastry Trust
    • Scott Thomas Wolfrum · Directorcontrol
      since 07/2013 · owns F of Noyes Group, LLC
    Entity owners
    • Noyes Group, LLC · Sole Shareholder
      direct · owns 75% or more
    • The Frank M. Bayley Dynasty Trust U/A Dated October 11, 2012 · Director
      indirect · owns 25% to 50% of Noyes Group, LLC
    Related persons
    Schedule D 7.A
    No related person reported.
    Advisers that list David A. Noyes & Company as a related person
    Offices
    Schedule D 1.F, the 25 largest
    • Chicago, IL
    • Elgin, IL
    • Indianapolis, IN
    • Indianapolis, IN
    • Oak Park, IL
    • Skokie, IL
    • ,
    What changed
    consecutive filings, newest first
    • Accounts · 1,571 to 1,606
      Feb 2, 2015 to Mar 5, 2015
    • Advisory employees · 53 to 54
      Feb 2, 2015 to Mar 5, 2015
    • BD registered reps · 53 to 54
      Feb 2, 2015 to Mar 5, 2015
    • Employees · 79 to 103
      Feb 2, 2015 to Mar 5, 2015
    • State-registered IARs · 53 to 54
      Feb 2, 2015 to Mar 5, 2015
    • Legal name · NOYES GROUP, LLC to DAVID A. NOYES & COMPANY
      Feb 2, 2015 to Mar 5, 2015
    • Discretionary RAUM · $268M to $280M
      Feb 2, 2015 to Mar 5, 2015
    • Non-discretionary RAUM · $231M to $221M
      Feb 2, 2015 to Mar 5, 2015
    • RAUM · $499M to $501M
      Feb 2, 2015 to Mar 5, 2015
    • Organization form · Corporation to Limited Liability Company
      Jan 14, 2015 to Feb 2, 2015
    • Legal name · DAVID A. NOYES & COMPANY to NOYES GROUP, LLC
      Feb 2, 2015 to Feb 2, 2015
    • Organization form · Limited Liability Company to Corporation
      Feb 2, 2015 to Feb 2, 2015
    • Accounts · 478 to 1,571
      Aug 22, 2014 to Sep 22, 2014
    • Discretionary RAUM · $17.7M to $268M
      Aug 22, 2014 to Sep 22, 2014
    • Non-discretionary RAUM · $233M to $231M
      Aug 22, 2014 to Sep 22, 2014
    • RAUM · $251M to $499M
      Aug 22, 2014 to Sep 22, 2014
    • Advisory activities · 6 to 5
      Oct 17, 2013 to Feb 21, 2014
    • Accounts · 362 to 478
      Oct 5, 2012 to Oct 17, 2013
    • Advisory employees · unset to 53.0
      Oct 5, 2012 to Oct 17, 2013
    • Advisory activities · 5 to 6
      Oct 5, 2012 to Oct 17, 2013
    • BD registered reps · unset to 53.0
      Oct 5, 2012 to Oct 17, 2013
    • Employees · unset to 79.0
      Oct 5, 2012 to Oct 17, 2013
    • State-registered IARs · 0 to 53
      Oct 5, 2012 to Oct 17, 2013
    • Discretionary RAUM · $9.9M to $17.7M
      Oct 5, 2012 to Oct 17, 2013
    • Non-discretionary RAUM · $124M to $233M
      Oct 5, 2012 to Oct 17, 2013
    • RAUM · $134M to $251M
      Oct 5, 2012 to Oct 17, 2013
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    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