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

Chase Investment Services Corp.

Former SEC-registered adviserChicago, IllinoisCRD 25574SEC 801-36407IAPD
Latest filing Sep 19, 2012
First filing on the tape Dec 21, 2011 · 6 filings
RAUM
$30B
reported, Item 5.F
Discretionary
100%
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
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$30B as of Sep 19, 2012
Dec 21, 2011$26B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 19, 2012
Dec 21, 20110 then
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 19, 2012; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$163,807derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived6 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Custody
yesreportedItem 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
  • is a broker-dealer (6.A.1)
  • 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 persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • a related person acts as qualified custodian (9.D.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
182,239reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
% of AUMreported
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Mahesh Chatta Aditya · Board Membercontrol
    since 05/2011 · owns less than 5%
  • Alan James Chabot · President & Ceo, Board Membercontrol
    since 11/2008 · owns less than 5%
  • James Huber Davis · Chief Operations Officercontrol
    since 03/2005 · owns less than 5%
  • Daniel Robert Deegan · Executive Vice Presidentcontrol
    since 06/2012 · owns less than 5%
  • Jeffrey Willis Durkee · Executive Vice Presidentcontrol
    since 03/2012 · owns less than 5%
  • Sol Gindi · Cfo, Board Membercontrol
    since 06/2011 · owns less than 5%
  • Anne Louise Gray · Senior Vice Presidentcontrol
    since 07/2009 · owns less than 5%
  • Philip Howard Jr. Haigis · Executive Vice Presidentcontrol
    since 05/2011 · owns less than 5%
  • Beth Wilson Julian · Executive Vice Presidentcontrol
    since 05/2009 · owns less than 5%
  • Gregg Adam Kleinbaum · Executive Vice Presidentcontrol
    since 12/2010 · owns less than 5%
  • Kevin Lee Martin · Executive Vice Presidentcontrol
    since 06/2011 · owns less than 5%
  • Laura Ann Pantaleo · Executive Vice Presidentcontrol
    since 12/2008 · owns less than 5%
  • John P Quinn · Executive Vice President,National Sales Directorcontrol
    since 12/2008 · owns less than 5%
  • Jamie Matthew Reed · Executive Vice Presidentcontrol
    since 12/2008 · owns less than 5%
  • Joseph Briel Skarda · Executive Vice Presidentcontrol
    since 12/2008 · owns less than 5%
  • Eric David Tepper · Executive Vice Presidentcontrol
    since 03/2012 · owns less than 5%
  • Douglas Frederick Wilburn · Chief Compliance Officercontrol
    since 05/2009 · owns less than 5%
Entity owners
  • Banc One Capital Holdings LLC · Direct Owner
    direct · owns 75% or more
  • Jpmorgan Chase & Co · Indirect Parent
    indirect · owns 75% or more of Banc One Capital Holding LLC · public reporting company
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
  • Chicago, IL
  • Columbus, OH
  • New York, NY
  • New York, NY
  • New York, NY
What changed
consecutive filings, newest first
  • Accounts · 142,388 to 182,239
    Dec 21, 2011 to Mar 30, 2012
  • Advisory activities · 4 to 3
    Dec 21, 2011 to Mar 30, 2012
  • Assets in custody · unset to 0.0
    Dec 21, 2011 to Mar 30, 2012
  • Custody of client assets · false to true
    Dec 21, 2011 to Mar 30, 2012
  • Insurance-licensed employees · unset to 0.0
    Dec 21, 2011 to Mar 30, 2012
  • Discretionary RAUM · $24B to $30B
    Dec 21, 2011 to Mar 30, 2012
  • Non-discretionary RAUM · $1.6B to $0
    Dec 21, 2011 to Mar 30, 2012
  • RAUM · $26B to $30B
    Dec 21, 2011 to Mar 30, 2012
  • Related bank · false to true
    Dec 21, 2011 to Mar 30, 2012
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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