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
P•••••• I••••••••• M••••••••• I•••
Latest filing Feb 4, 2026
First filing on the tape Mar 25, 2022 · 14 filings
SEC status approved since Apr 25, 2022
RAUM
$186M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$186M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$23.3M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$186M as of Feb 4, 2026
Sep 29, 2022$72.8M then
HNW client RAUM$5.0M as of Feb 4, 2026
Sep 29, 2022$67.1M then
State-registered IARs (5.B.3)6 as of Feb 4, 2026
Sep 29, 20226 then
Employees (5.A)6 as of Feb 4, 2026
Sep 29, 20226 then
Private funds: no history
RAUM +170% over the last fiscal year+37% a year over threeIARs 5 to 6offices 2 to 3
Practice profile
derived from the filing of Feb 4, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $23.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 5derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $185,808derivedHNW RAUM over HNW clients
- Average account
- $4.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 2.0derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +170%derivedbetween the last two annual amendments
- Advisor growth, one year
- +20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1233%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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$181M97%
- High-net-worth individuals$5.0M2.7%
- Individual clients
- 13reported
- HNW clients
- 27reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 39reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=6.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••• J••••• L•••••• | Highland Park, Il | Feb 9, 2017 | 35 y | 2 |
| D•••• J• G•••• | Chicago, Il | Sep 24, 2019 | 10 y | 0 |
| R••••• I•••••• P•••• | Highland Park, Il | Dec 10, 2019 | 13 y | 0 |
| M•••• E••••• C•••••• | Highland Park, Il | Sep 28, 2020 | 21 y | 4 |
| A•••••• G••••• M•••• T••••••• | Highland Park, Il | Feb 14, 2022 | 12 y | 4 |
| A•••••• G••••• M•••• | Highland Park, Il | May 15, 2023 | 18 y | 5 |
| A••••• F• L••••• | Highland Park, Il | Jan 2, 2024 | 15 y | 4 |
| F••••• T••••••••• H•••••• | Highland Park, Il | Dec 16, 2024 | 14 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 headcount2 left over 36 months
Left, latest
- L••••••• J••••• S••• to S••• F•••••••• S•••••••• L••Jun 11, 2024 · RIA to a state-registered adviser
- J••••••• R•••••• T••• to S••• F•••••••• S•••••••• L••Jun 11, 2024 · RIA to a state-registered adviser
- M•••••• S• G•••••• to G•••••••• W••••• P•••••••Sep 15, 2022 · RIA to RIA
- H•••• P••••• P••• to A•••••• E•••Nov 5, 2021 · Other
- M•••• E••••• C•••••• to I••••••••• A•••••• S••••••••• I•••Oct 25, 2019 · RIA to a newly registered adviser
Joined, latest
- A••••• F• L••••• from B••••• I••••••••• M••••••••• L•••••Jan 2, 2024 · Other
- M•••••• S• G•••••• from J••• M••••• S••••••••• L••Mar 25, 2022 · Wirehouse to independent RIA
- M•••• E••••• C•••••• from I••••••••• A•••••• S••••••••• I•••Sep 28, 2020 · Other
- C••••• J••••• L•••••• from I•••••• S••••••••• I•••Feb 9, 2017 · RIA to RIA
- M•••• E••••• C•••••• from I•••••• S••••••••• I•••May 2, 2016 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• M••••• E••••• · Presidentcontrolsince 10/2021 · owns less than 5%
- K••• J••••• J• · Chief Compliance Officercontrolsince 10/2022 · owns less than 5%
- L••••••• C•••••• J••••• · Presidentcontrolsince 07/2013 · owns 75% or more of I••••••••• I•••
Entity owners
- I••••••••• I••• · Owner/Memberdirect · owns 75% or more
- B•••• S•• J••• I••••••••• I••• · Shareholderindirect · owns 25% to 50% of I••••••••• I•••
Related persons
Schedule D 7.A
- I•••••• S••••••••• I•••broker-dealerinvestment advisernRAUM $94.2M
Advisers that list P•••••• I••••••••• M••••••••• I••• as a related person
- 5611 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Highland Park, Il · principal | 8 | 2 | 0 | ||
| Chicago, Il | 2 | 0 | 0 | ||
| Coral Gables, Fl | 1 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Miami, FL1 employees
- Coral Gables, FL1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Feb 4, 2026RAUM (Item 5.F) moved from $69,000,000 to $186,316,022 (+170.0%) between the annual amendments of 2024-08-23 and 2026-02-04; the peer median change was +15.0% (4550 comparable advisers, 100.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 100% percentile
- compensation changedChange between filings · filing Feb 4, 2026hourly charges (Item 5.E.2): yes on the filing of 2025-09-25, no on the filing of 2026-02-04peers: independent wealth managers, $100M to $500M (5,676)
- HNW share shiftChange between filings · filing Feb 4, 2026HNW share of RAUM moved from 97.0% to 3.0% between the annual amendments of 2024-08-23 and 2026-02-04peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 3 to 39Aug 23, 2024 to Sep 25, 2025
- HNW clients · 1 to 27Aug 23, 2024 to Sep 25, 2025
- Individual clients · 2 to 13Aug 23, 2024 to Sep 25, 2025
- Insurance-licensed employees · 6 to 4Aug 23, 2024 to Sep 25, 2025
- Financial planning clients · unset to Aug 23, 2024 to Sep 25, 2025
- State-registered IARs · 5 to 6Aug 23, 2024 to Sep 25, 2025
- Other offices · 2 to 3Aug 23, 2024 to Sep 25, 2025
- Discretionary RAUM · $69.0M to $186MAug 23, 2024 to Sep 25, 2025
- HNW RAUM · $67.0M to $5.0MAug 23, 2024 to Sep 25, 2025
- Individual RAUM · $2.0M to $181MAug 23, 2024 to Sep 25, 2025
- Pension RAUM · 0.0 to unsetAug 23, 2024 to Sep 25, 2025
- Pooled vehicle RAUM · 0.0 to unsetAug 23, 2024 to Sep 25, 2025
- RAUM · $69.0M to $186MAug 23, 2024 to Sep 25, 2025
- Accounts · 174 to 3Jan 10, 2024 to Aug 23, 2024
- BD registered reps · 7 to 6Jan 10, 2024 to Aug 23, 2024
- HNW clients · 17 to 1Jan 10, 2024 to Aug 23, 2024
- Individual clients · 157 to 2Jan 10, 2024 to Aug 23, 2024
- Employees · 7 to 6Jan 10, 2024 to Aug 23, 2024
- Insurance-licensed employees · 7 to 6Jan 10, 2024 to Aug 23, 2024
- State-registered IARs · 6 to 5Jan 10, 2024 to Aug 23, 2024
- Discretionary RAUM · $114M to $69.0MJan 10, 2024 to Aug 23, 2024
- HNW RAUM · $81.0M to $67.0MJan 10, 2024 to Aug 23, 2024
- Individual RAUM · $33.2M to $2.0MJan 10, 2024 to Aug 23, 2024
- RAUM · $114M to $69.0MJan 10, 2024 to Aug 23, 2024
- Other offices · 1 to 2Oct 16, 2023 to Jan 10, 2024
- Accounts · 38 to 174Dec 7, 2022 to Aug 8, 2023
- HNW clients · 10 to 17Dec 7, 2022 to Aug 8, 2023
- Individual clients · 28 to 157Dec 7, 2022 to Aug 8, 2023
- Discretionary RAUM · $72.8M to $114MDec 7, 2022 to Aug 8, 2023
- HNW RAUM · $67.1M to $81.0MDec 7, 2022 to Aug 8, 2023
- Individual RAUM · $5.6M to $33.2MDec 7, 2022 to Aug 8, 2023
- RAUM · $72.8M to $114MDec 7, 2022 to Aug 8, 2023
- BD registered reps · 6 to 7Sep 29, 2022 to Oct 13, 2022
- Employees · 6 to 7Sep 29, 2022 to Oct 13, 2022
- Insurance-licensed employees · 6 to 7Sep 29, 2022 to Oct 13, 2022
- Accounts · 6 to 38Aug 25, 2022 to Sep 29, 2022
- Advisory employees · 2 to 4Aug 25, 2022 to Sep 29, 2022
- BD registered reps · 3 to 6Aug 25, 2022 to Sep 29, 2022
- HNW clients · unset to 10.0Aug 25, 2022 to Sep 29, 2022
- Individual clients · 6 to 28Aug 25, 2022 to Sep 29, 2022
Signals
6 dated events
- P•••••• I••••••••• M••••••••• I••• reported RAUM $186.3M, up 170% from $69.0M (2024-08-23 to 2025-09-25)Sep 25, 2025 · RAUM change · derived
- L••••••• J••••• S••• left P•••••• I••••••••• M••••••••• I••• for S••• F•••••••• S•••••••• L•• (registered 2024-01-29)Jun 11, 2024 · a•••••• firm change · fact
- J••••••• R•••••• T••• left P•••••• I••••••••• M••••••••• I••• for S••• F•••••••• S•••••••• L•• (registered 2024-11-26)Jun 11, 2024 · a•••••• firm change · fact
- J James Kim (Chief Compliance Officer) appeared on Schedule A of P•••••• I••••••••• M••••••••• I•••Oct 13, 2022 · Control person joined · fact
- M•••••• S• G•••••• left P•••••• I••••••••• M••••••••• I••• for G•••••••• W••••• P••••••• (registered 2022-11-17)Sep 15, 2022 · a•••••• firm change · fact
- P•••••• I••••••••• M••••••••• I••• filed its initial SEC registration (Form ADV)Mar 25, 2022 · 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
- Principal office phone
- 702-906-0940reportedpublic record, Form ADV, Feb 4, 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
- $23.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026