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
G•••••••• F•••••••• G••••• L••
Latest filing Mar 31, 2026
First filing on the tape May 27, 2015 · 66 filings
SEC status approved since Jun 5, 2015
RAUM
$1.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$1.1B individuals and HNW
Advisors
17
registered through the firm on IAPD
RAUM per advisor
$62.0M
derived; firm RAUM over IAPD count
Employees
43
13 advisory (5.B.1)
Offices
16
beyond the principal office
Private funds
0
reported on Schedule D
History
66 filings and snapshots on the tape
RAUM$1.1B as of Mar 31, 2026
May 6, 2016$130M then
HNW client RAUM$465M as of Mar 31, 2026
Mar 26, 2018$27.9M then
State-registered IARs (5.B.3)13 as of Mar 31, 2026
May 6, 20162 then
Employees (5.A)43 as of Mar 31, 2026
May 6, 20162 then
Private funds: no history
RAUM +32% over the last fiscal year+41% a year over threeIARs 13 to 13offices 14 to 16
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $62.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 99derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $236,970derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived17 offices incl. principal (1.F.5)
- RAUM growth, one year
- +32%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +17%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
- Financial planning clients
- 1,657reportedItem 5.H
- Wrap fee program
- $5.1MreportedItem 5.I
- Custody
- $213M, 835 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$589M56%
- High-net-worth individuals$465M44%
- Individual clients
- 1,467reported
- HNW clients
- 208reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 4,448reported
- Financial planning clients
- 1,657reported
- Wrap fee programs
- $5.1M sponsored, $1.9M managedreported
- Custody of client assets
- $213M for 835 clientsreported
- Compensation
- % of AUM, hourlyreported
- 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
17 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••••• P••••••••• | Oakbrook Terrace, Il | Aug 4, 2015 | 22 y | 1 |
| B•••• R••••• K••••••• | Oakbrook Terrace, Il | May 10, 2016 | 13 y | 1 |
| J••••• J••• R•••• | Oakbrook Terrace, Il | Jun 8, 2018 | 11 y | 0 |
| J••••• D••••••• | Oakbrook Terrace, Il | Dec 1, 2021 | 16 y | 1 |
| K•••• B••••••••• | Oakbrook Terrace, Il | Aug 25, 2022 | 12 y | 1 |
| J•••••• B• D•••••Certified Financial Planner | Oakbrook Terrace, Il | Aug 6, 2023 | 19 y | 4 |
| A••••• V••• O••• | Oakbrook Terrace, Il | May 24, 2024 | 17 y | 0 |
| J•••• R•• | Oakbrook Terrace, Il | Jul 10, 2024 | 12 y | 0 |
| G••• B••• | Oakbrook Terrace, Il | Feb 13, 2025 | 11 y | 2 |
| M•••••• R••••• R•••Chartered Financial Analyst | Oakbrook Terrace, Il | Sep 5, 2025 | 28 y | 0 |
| J••••• M••• B•••••••Certified Financial Planner | Oakbrook Terrace, Il | Oct 2, 2025 | 10 y | 2 |
| S••••• J••••• G•••• | Oakbrook Terrace, Il | Mar 25, 2026 | 13 y | 0 |
| A••••• N••••• | Oakbrook Terrace, Il | May 13, 2026 | 18 y | 2 |
| W•••••• H••••• | Oakbrook Terrace, Il | Jul 15, 2026 | 10 y | 0 |
| W•••••• G•••••••• | Oakbrook Terrace, Il | Jul 17, 2026 | 14 y | 2 |
| F•••• I•• M•••••• | Oakbrook Terrace, Il | Jul 29, 2026 | 12 y | 0 |
| J••••• L••Certified Financial Planner | Oakbrook Terrace, Il | Aug 2, 2026 | 10 y | 3 |
Advisor movement
3 left, 4 joined in 12 months
net +1 in 12 months1 left in 90 days2 joined in 90 daysdeparture rate 18% of current headcount6 left over 36 months
Left, latest
- P•••••• R••• S••• to R•• A•••••••• L••Sep 11, 2026 · RIA to RIA
- A••••• D•••••• W••••• to O••••• F•••••••• G••••• L••Mar 13, 2026 · RIA to RIA
- J•••••••• I••••• to F••••Jan 27, 2026 · RIA to RIA
- P•••••• P••• to N••••••••• M••••• I••••••••• S•••••••••Jul 8, 2025 · Other
- C•••••• D•••• to M••••• S••••••Jun 17, 2025 · RIA to wirehouse
- M•••••• A•••••• R••• to S••••• I••••••••• L••Nov 18, 2024 · RIA to RIA
- R•••••• W••••••• L•••••• to G••••• R••••••••• P••••••• L••Sep 6, 2023 · Other
Joined, latest
- J••••• L•• from C••••••Aug 2, 2026 · RIA to RIA
- W•••••• G•••••••• from E•••••••• A•••••••• L••Jul 17, 2026 · Affiliated broker-dealer or bank to independent RIA
- A••••• N••••• from S•••••••• A••••••• L••May 13, 2026 · Affiliated broker-dealer or bank to independent RIA
- J••••• M••• B••••••• from C••••••••• C•••••• P•••••••Oct 2, 2025 · RIA to RIA
- J•••••••• I••••• from E••• F•••••••• A•••••••• L••Sep 4, 2025 · RIA to RIA
- G••• B••• from E•••• A••••••• I•••Feb 13, 2025 · RIA to RIA
- C•••••• D•••• from E••••• J••••Apr 4, 2024 · Affiliated broker-dealer or bank to independent RIA
- A••••• D•••••• W••••• from J•••• I••••••••• R••••••• I••Mar 7, 2024 · RIA to RIA
- J•••••• B• D••••• from E•••••• F•••••••• E••••••Aug 6, 2023 · RIA to RIA
- M•••••• A•••••• R••• from F••••• I•••••••••Jul 12, 2023 · RIA to RIA
- K•••• B••••••••• from E•••••••• A•••••••• L••Aug 25, 2022 · Affiliated broker-dealer or bank to independent RIA
- J••••• D••••••• from T••••••• I••••••••• M••••••••• I•••Dec 1, 2021 · Affiliated broker-dealer or bank to independent RIA
- R•••••• W••••••• L•••••• from L•• F•••••••• L••Jan 5, 2021 · RIA to RIA
- P•••••• R••• S••• from M•••• M••••••• A•••••••Dec 13, 2018 · RIA to RIA
- B•••• R••••• K••••••• from B••••••••• C•••••• M••••••••• L••May 10, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from B••••••••• C•••••• M••••••••• L••Dec 31, 2015 · Wheaton, Il
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• J••••••• B• · Presidentcontrolsince 08/2025 · owns less than 5%
- L•••••••• S••••••• M••••• · Chief Operations Officercontrolsince 12/2025 · owns less than 5%
- P••••••••• A•••••• · Owner/Managing Membercontrolsince 11/2008 · owns 75% or more
- R•••• M••••••• R••••• · Chief Investment Officercontrolsince 10/2025 · owns less than 5%
- W••••••• J••••••• S••••• · Chief Compliance Officercontrolsince 08/2018 · owns less than 5%
- K•••••••• B••••• R••••• · Minority Ownersince 09/2022 · owns 10% to 25%
- M•••••••• I••• D•••••• · Chief Compliance Officersince 11/2025 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Oakbrook Terrace, Il · principal | 17 | 8 | 3 | ||
| Franklin, Tn | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Northbrook, IL3 employees
- Lake Forest, IL3 employees
- St. Charles, IL2 employees
- Franklin, TN2 employees
- Brentwood, TN1 employees
- Milwaukee, WI1 employees
- Nashville, TN1 employees
- Hoffman Estates, IL1 employees
- Cincinnati, OH1 employees
- Cincinnati, OH1 employees
- Dayton, OH1 employees
- Orland Park, IL1 employees
- Chicago, IL
- Chicago, IL
ADV anomalies
7 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 31, 2026L•••••••• S••••••• M••••• (CHIEF OPERATIONS OFFICER) appeared on Schedule A between the filings of 2022-10-03 and 2026-03-31peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 31, 2026W••••••• J••••••• S••••• (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2022-10-03 and 2026-03-31peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 31, 2026D•••••• J••••••• B• (PRESIDENT) appeared on Schedule A between the filings of 2022-10-03 and 2026-03-31peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 31, 2026P••••••••• A•••••• (OWNER/MANAGING MEMBER) left Schedule A between the filings of 2022-10-03 and 2026-03-31peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 31, 2026R•••• M••••••• R••••• (CHIEF INVESTMENT OFFICER) appeared on Schedule A between the filings of 2022-10-03 and 2026-03-31peers: independent wealth managers, $1B to $5B (1,362)
- custody status changedChange between filings · filing Mar 31, 2026custody of client assets (Item 9.A): no on the filing of 2026-01-02, yes on the filing of 2026-03-31peers: independent wealth managers, $1B to $5B (1,362)
- employee count surgeChange between filings · filing Mar 31, 2026employees (Item 5.A) moved from 13.0 to 43.0 (+231.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +4.0% (1050 comparable advisers, 100.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,050) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 4,083 to 4,448Jan 2, 2026 to Mar 31, 2026
- Advisory employees · 11 to 13Jan 2, 2026 to Mar 31, 2026
- Advisory activities · 2 to 3Jan 2, 2026 to Mar 31, 2026
- HNW clients · 192 to 208Jan 2, 2026 to Mar 31, 2026
- Individual clients · 1,381 to 1,467Jan 2, 2026 to Mar 31, 2026
- Assets in custody · unset to 212575260.0Jan 2, 2026 to Mar 31, 2026
- Custody of client assets · false to trueJan 2, 2026 to Mar 31, 2026
- Employees · 11 to 43Jan 2, 2026 to Mar 31, 2026
- Financial planning clients · 1-10 to More than 500Jan 2, 2026 to Mar 31, 2026
- State-registered IARs · 11 to 13Jan 2, 2026 to Mar 31, 2026
- Discretionary RAUM · $917M to $1.1BJan 2, 2026 to Mar 31, 2026
- HNW RAUM · $421M to $465MJan 2, 2026 to Mar 31, 2026
- Individual RAUM · $496M to $589MJan 2, 2026 to Mar 31, 2026
- RAUM · $917M to $1.1BJan 2, 2026 to Mar 31, 2026
- Wrap assets (manager) · $1.6M to $1.9MJan 2, 2026 to Mar 31, 2026
- Other offices · 14 to 16Jul 26, 2025 to Dec 16, 2025
- Accounts · 4,020 to 4,083Jun 2, 2025 to Jul 26, 2025
- Advisory employees · 13 to 11Jun 2, 2025 to Jul 26, 2025
- HNW clients · 189 to 192Jun 2, 2025 to Jul 26, 2025
- Individual clients · 1,353 to 1,381Jun 2, 2025 to Jul 26, 2025
- Employees · 13 to 11Jun 2, 2025 to Jul 26, 2025
- Financial planning clients · 1-10 to 1-10Jun 2, 2025 to Jul 26, 2025
- State-registered IARs · 13 to 11Jun 2, 2025 to Jul 26, 2025
- Discretionary RAUM · $853M to $917MJun 2, 2025 to Jul 26, 2025
- HNW RAUM · $389M to $421MJun 2, 2025 to Jul 26, 2025
- Individual RAUM · $464M to $496MJun 2, 2025 to Jul 26, 2025
- RAUM · $853M to $917MJun 2, 2025 to Jul 26, 2025
- Accounts · 3,878 to 4,020Mar 31, 2025 to Jun 2, 2025
- HNW clients · 176 to 189Mar 31, 2025 to Jun 2, 2025
- Individual clients · 1,257 to 1,353Mar 31, 2025 to Jun 2, 2025
- Discretionary RAUM · $798M to $853MMar 31, 2025 to Jun 2, 2025
- HNW RAUM · $367M to $389MMar 31, 2025 to Jun 2, 2025
- Individual RAUM · $430M to $464MMar 31, 2025 to Jun 2, 2025
- RAUM · $798M to $853MMar 31, 2025 to Jun 2, 2025
- Wrap assets (manager) · $1.6M to $1.6MMar 31, 2025 to Jun 2, 2025
- Wrap assets (sponsor) · $8.6M to $5.1MMar 31, 2025 to Jun 2, 2025
- Accounts · 3,703 to 3,878Jan 22, 2025 to Mar 31, 2025
- Discretionary RAUM · $817M to $798MJan 22, 2025 to Mar 31, 2025
- HNW RAUM · $423M to $367MJan 22, 2025 to Mar 31, 2025
- Individual RAUM · $395M to $430MJan 22, 2025 to Mar 31, 2025
Signals
10 dated events
- P•••••• R••• S••• left G•••••••• F•••••••• G••••• L•• for R•• A•••••••• L•• (registered 2026-08-14)Sep 11, 2026 · Advisor changed firm · fact
- A••••• D•••••• W••••• left G•••••••• F•••••••• G••••• L•• for O••••• F•••••••• G••••• L•• (registered 2026-04-16)Mar 13, 2026 · Advisor changed firm · fact
- J•••••••• I••••• left G•••••••• F•••••••• G••••• L•• for Facet (registered 2026-04-29)Jan 27, 2026 · Advisor changed firm · fact
- P•••••• P••• left G•••••••• F•••••••• G••••• L•• for N••••••••• M••••• I••••••••• S••••••••• (registered 2025-11-19)Jul 8, 2025 · Advisor changed firm · fact
- C•••••• D•••• left G•••••••• F•••••••• G••••• L•• for M••••• S•••••• (registered 2025-07-16)Jun 17, 2025 · Advisor changed firm · fact
- M•••••• A•••••• R••• left G•••••••• F•••••••• G••••• L•• for S••••• I••••••••• L•• (registered 2025-02-19)Nov 18, 2024 · Advisor changed firm · fact
- G•••••••• F•••••••• G••••• L•• reported 14 offices beyond its principal office, up from 9 (2024-04-30 to 2024-05-09)May 9, 2024 · Office count change · derived
- R•••••• W••••••• L•••••• left G•••••••• F•••••••• G••••• L•• for G••••• R••••••••• P••••••• L•• (registered 2023-10-17)Sep 6, 2023 · Advisor changed firm · fact
- August Michael Pellegrino (Managing Member) no longer on Schedule A of G•••••••• F•••••••• G••••• L•• (listed 2019-04-18, absent 2019-12-10)Dec 10, 2019 · Control person left · inference
- G•••••••• F•••••••• G••••• L•• filed its initial SEC registration (Form ADV)May 27, 2015 · 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
- Business phone
- 630-620-9300reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/G••••••••-FINANCIAL-GROUPreportedpublic record, Form ADV, Sep 18, 2026
- Website
- goldstonefinancialgroup.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 630-620-9300reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- goldstonefinancialgroup.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- goldstonefinancialgroup.com/team/anthony-pellegrinoreportedpublished by the firm, firm site, Sep 15, 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
- $62.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026