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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Former SEC-registered adviser

R••••••• V•••• P•••••••• L••

Former SEC-registered adviserNorthbrook, IllinoisCRD 281067SEC 801-106503IAPD
Legal name R••••••• V•••• P••••••• G••••• L••
Latest filing Apr 25, 2024
First filing on the tape Jul 30, 2015 · 29 filings
RAUM
$2.6B
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
99%
$2.5B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
21
16 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$2.6B as of Mar 28, 2024
Mar 28, 2016$970M then
HNW client RAUM$2.5B as of Mar 28, 2024
Mar 21, 2018$1.0B then
State-registered IARs (5.B.3)16 as of Mar 28, 2024
Mar 28, 20168 then
Employees (5.A)21 as of Mar 28, 2024
Mar 28, 201610 then
Private funds: no history
RAUM +15% over the last fiscal year+17% a year over threeIARs 16 to 16offices 3 to 4
Practice profile
derived from the filing of Apr 25, 2024; every figure names its basis
RAUM per advisor
$161MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
20derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$9.6MderivedHNW RAUM over HNW clients
Average account
$1.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
89%derivedof RAUM
Institutional
1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
3.2derived5 offices incl. principal (1.F.5)
RAUM growth, one year
+15%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-4.5%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
Custody
$983M, 138 clientsreportedItem 9.A
Ownership
a PE fund or sponsor is a 25 percent or greater owner 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)
  • has custody of client securities (9.A.1.b)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$2.5B97%
  • Individuals$46.9M1.8%
  • Charitable organizations$18.4M0.7%
  • Pension and profit-sharing plans$3.4M0.1%
  • Insurance companies$2.6M0.1%
Individual clients
55reported
HNW clients
260reported
Pension plan clients
n/areported
Charitable clients
5reported
Accounts
1,471reported
Financial planning clients
101-250reported
Wrap fee programs
$0 sponsored, $5.5M managedreported
Custody of client assets
$983M for 138 clientsreported
Compensation
% of AUM, fixedreported
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
  • F•••••• M••••• L•••••• · Chief Investment Officercontrol
    since 07/2015 · owns less than 5%
  • G•••• C••••••••• C••••• · Chief Compliance Officercontrol
    since 07/2015 · owns less than 5%
  • H••••••• R•••••• H••••••• · Chief Executive Officercontrol
    since 07/2015 · owns less than 5%
Entity owners
  • F•••• O••••••••• L•• · Member (Manager)
    direct · owns 75% or more
  • C••• F•••••••• C••••••••• L••• · Partner
    indirect · owns 25% to 50% of C••• F•••••••• H•••••••• L•••
  • C••• F•••••••• H•••••••• L••• · Partner
    indirect · owns 50% to 75% of F•••••••• F•• U••••••• H•••••••• L•
  • C••••••• D••••••• • R••• F••• X••• L••• · Partner
    indirect · owns 50% to 75% of C••• F•••••••• H•••••••• L•••
  • F•••••••• F•• A••••••••• L•• · Shareholder, Class A Common Stock
    indirect · owns 75% or more of F•••• F•••••••• P••••••• I••
  • F•••••••• F•• I••••••••• H•••••••• L•• · Member
    indirect · owns 75% or more of F•••••••• F•• A••••••••• L••
  • F•••••••• F•• P•••••• I•• · Member
    indirect · owns 75% or more of F•••••••• F•• I••••••••• H•••••••• L••
  • F•••••••• F•• U••••••• H•••••••• L• · Shareholder
    indirect · owns 75% or more of F•••••••• F•• P•••••• I••
  • F•••••••• F•• U••••••• H•••••••• L• · Shareholder, Class B Common Stock
    indirect · owns 75% or more of F•••• F•••••••• P••••••• I••
  • F•••• F•••••••• P••••••• I•• · Member
    indirect · owns 75% or more of F•••• F•••••••• P•••••••• L••
  • F•••• F•••••••• P•••••••• L•• · Member
    indirect · owns 75% or more of F•••• O••••••••• L••
Related persons
Schedule D 7.A
Advisers that list R••••••• V•••• P•••••••• L•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Columbus, Oh000
Denver, Co000
Nashotah, Wi000
Northbrook, Il · principal000
Offices
Schedule D 1.F, the 25 largest
  • Chicago, IL5 employees
  • , 1 employees
What changed
consecutive filings, newest first
  • Accounts · 1,449 to 1,471
    Nov 10, 2023 to Mar 28, 2024
  • Charity clients · unset to 5.0
    Nov 10, 2023 to Mar 28, 2024
  • HNW clients · 267 to 260
    Nov 10, 2023 to Mar 28, 2024
  • Individual clients · 63 to 55
    Nov 10, 2023 to Mar 28, 2024
  • Assets in custody · $492M to $983M
    Nov 10, 2023 to Mar 28, 2024
  • Discretionary RAUM · $2.0B to $2.3B
    Nov 10, 2023 to Mar 28, 2024
  • HNW RAUM · $2.2B to $2.5B
    Nov 10, 2023 to Mar 28, 2024
  • Individual RAUM · $31.1M to $46.9M
    Nov 10, 2023 to Mar 28, 2024
  • Non-discretionary RAUM · $236M to $276M
    Nov 10, 2023 to Mar 28, 2024
  • Pension RAUM · $2.9M to $3.4M
    Nov 10, 2023 to Mar 28, 2024
  • RAUM · $2.2B to $2.6B
    Nov 10, 2023 to Mar 28, 2024
  • Wrap assets (manager) · $30.2M to $5.5M
    Nov 10, 2023 to Mar 28, 2024
  • Other offices · 3 to 4
    Sep 18, 2023 to Nov 10, 2023
  • Accounts · 1,148 to 1,449
    Nov 18, 2022 to Mar 24, 2023
  • HNW clients · 295 to 267
    Nov 18, 2022 to Mar 24, 2023
  • Individual clients · 19 to 63
    Nov 18, 2022 to Mar 24, 2023
  • Assets in custody · $436M to $492M
    Nov 18, 2022 to Mar 24, 2023
  • Employees · 20 to 21
    Nov 18, 2022 to Mar 24, 2023
  • Other offices · 2 to 3
    Nov 18, 2022 to Mar 24, 2023
  • Discretionary RAUM · $1.7B to $2.0B
    Nov 18, 2022 to Mar 24, 2023
  • HNW RAUM · $2.3B to $2.2B
    Nov 18, 2022 to Mar 24, 2023
  • Individual RAUM · $21.2M to $31.1M
    Nov 18, 2022 to Mar 24, 2023
  • Non-discretionary RAUM · $646M to $236M
    Nov 18, 2022 to Mar 24, 2023
  • Pension RAUM · $3.1M to $2.9M
    Nov 18, 2022 to Mar 24, 2023
  • RAUM · $2.3B to $2.2B
    Nov 18, 2022 to Mar 24, 2023
  • Wrap assets (manager) · $35.5M to $30.2M
    Nov 18, 2022 to Mar 24, 2023
  • Advisory employees · 17 to 16
    Jan 28, 2022 to Mar 24, 2022
  • HNW clients · 296 to 295
    Jan 28, 2022 to Mar 24, 2022
  • Assets in custody · $409M to $436M
    Jan 28, 2022 to Mar 24, 2022
  • Financial planning clients · 51-100 to 101-250
    Jan 28, 2022 to Mar 24, 2022
  • State-registered IARs · 17 to 16
    Jan 28, 2022 to Mar 24, 2022
  • Other offices · 0 to 2
    Jan 28, 2022 to Mar 24, 2022
  • Wrap assets (manager) · $30.4M to $35.5M
    Jan 28, 2022 to Mar 24, 2022
  • Accounts · 790 to 1,148
    Jan 12, 2022 to Jan 28, 2022
  • Advisory employees · 10 to 17
    Jan 12, 2022 to Jan 28, 2022
  • HNW clients · 238 to 296
    Jan 12, 2022 to Jan 28, 2022
  • Individual clients · 18 to 19
    Jan 12, 2022 to Jan 28, 2022
  • Employees · 13 to 20
    Jan 12, 2022 to Jan 28, 2022
  • State-registered IARs · 10 to 17
    Jan 12, 2022 to Jan 28, 2022
  • Discretionary RAUM · $1.6B to $1.7B
    Jan 12, 2022 to Jan 28, 2022
Signals
21 dated events
  • B•••• G••••• C••••••• left R••••••• V•••• P•••••••• L•• for N••••••••• A•••• M••••••••• L•• (registered 2024-08-01)
    Aug 14, 2024 · Advisor changed firm · fact
  • Q•••• P•••••• M••••• left R••••••• V•••• P•••••••• L•• for N••••••••• A•••• M••••••••• L•• (registered 2024-08-01)
    Aug 14, 2024 · Advisor changed firm · fact
  • W•••••• K•••••• S••••••• S•••••• left R••••••• V•••• P•••••••• L•• for N••••••••• A•••• M••••••••• L•• (registered 2024-08-01)
    Aug 14, 2024 · Advisor changed firm · fact
  • R•••••• E•••• D••••• left R••••••• V•••• P•••••••• L•• for N••••••••• A•••• M••••••••• L•• (registered 2024-08-01)
    Aug 14, 2024 · Advisor changed firm · fact
  • D•••••• A••••• C••••••• left R••••••• V•••• P•••••••• L•• for N••••••••• A•••• M••••••••• L•• (registered 2024-08-01)
    Aug 14, 2024 · Advisor changed firm · fact
  • D•••• A•••• M••••••••• left R••••••• V•••• P•••••••• L•• for N••••••••• A•••• M••••••••• L•• (registered 2024-08-01)
    Aug 14, 2024 · Advisor changed firm · fact
  • J••••••• M•••• D•••• left R••••••• V•••• P•••••••• L•• for N••••••••• A•••• M••••••••• L•• (registered 2024-08-01)
    Aug 14, 2024 · Advisor changed firm · fact
  • E••• J•••••• F•••• left R••••••• V•••• P•••••••• L•• for N••••••••• A•••• M••••••••• L•• (registered 2024-08-07)
    Aug 14, 2024 · Advisor changed firm · fact
  • E••••• L•••• M••••••• left R••••••• V•••• P•••••••• L•• for N••••••••• A•••• M••••••••• L•• (registered 2024-08-01)
    Aug 14, 2024 · Advisor changed firm · fact
  • J•••••• M•••••• F•••••••• left R••••••• V•••• P•••••••• L•• for N••••••••• A•••• M••••••••• L•• (registered 2024-08-01)
    Aug 14, 2024 · Advisor changed firm · fact
  • K•••••• C• G•••• left R••••••• V•••• P•••••••• L•• for N••••••••• A•••• M••••••••• L•• (registered 2024-08-01)
    Aug 14, 2024 · Advisor changed firm · fact
  • M•••• L•••••• F••••• left R••••••• V•••• P•••••••• L•• for N••••••••• A•••• M••••••••• L•• (registered 2024-08-01)
    Aug 14, 2024 · Advisor changed firm · fact
  • G•••••• K•••••• N••• left R••••••• V•••• P•••••••• L•• for N••••••••• A•••• M••••••••• L•• (registered 2024-08-01)
    Aug 14, 2024 · Advisor changed firm · fact
  • R••• F••••••••• U•••• left R••••••• V•••• P•••••••• L•• for N••••••••• A•••• M••••••••• L•• (registered 2024-08-01)
    Aug 14, 2024 · Advisor changed firm · fact
  • C•••••••• C••••• G••• left R••••••• V•••• P•••••••• L•• for N••••••••• A•••• M••••••••• L•• (registered 2024-08-01)
    Aug 14, 2024 · Advisor changed firm · fact
  • R••••••• V•••• P•••••••• L••'s advisors moved to N••••••••• A•••• M••••••••• L•• (Northbrook, IL): 12 of 15 registered, on the same day
    Aug 14, 2024 · Firm absorbed (people side) · derived
  • R••••••• V•••• P•••••••• L•• reported RAUM $2.3B, up 45% from $1.6B (2022-01-12 to 2022-01-28)
    Jan 28, 2022 · RAUM change · derived
  • 6 advisors left B•••••••• R••••• • F•••••••• I••• (Chicago, IL) for R••••••• V•••• P•••••••• L•• on the same day
    Jan 13, 2022 · Team lift-out · derived
  • R••••••• V•••• P•••••••• L•• reported RAUM $1.6B, up 32% from $1.2B (2020-10-09 to 2021-03-25)
    Mar 25, 2021 · RAUM change · derived
  • R••••••• V•••• P•••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Jul 30, 2015 · Succession (Item 4) · fact
  • R••••••• V•••• P•••••••• L•• filed its initial SEC registration (Form ADV)
    Jul 30, 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.
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