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
X• I•••••••••
Legal name X• I••••••••• L••
Latest filing Mar 17, 2026
First filing on the tape May 17, 2017 · 13 filings
SEC status approved since Aug 10, 2017
RAUM
$866M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$433M
derived; firm RAUM over IAPD count
Employees
15
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$866M as of Mar 17, 2026
Mar 16, 2018$121M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 17, 2026
Mar 16, 20181 then
Employees (5.A)15 as of Mar 17, 2026
Mar 16, 20187 then
Private funds: no history
RAUM -8.9% over the last fiscal year+28% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 17, 2026; every figure names its basis
- RAUM per advisor
- $433MderivedRAUM 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
- $289MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 7.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -8.9%derivedbetween 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 investment companiesreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$866M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=12.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L••• K•••• G•••••• | Chicago, Il | May 19, 2025 | 13 y | 0 |
| L••••• K••••••• H••••• | Chicago, Il | Jun 16, 2025 | 10 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 50% of current headcount1 left over 36 months
Left, latest
- J•••• B•••••• H•••• to C•••••••• B••••••• I••••••••• S•••••••• I•••May 7, 2026 · Other
Joined, latest
- J•••• B•••••• H•••• from T••••••• A•••• M••••••••• L••Mar 25, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• T•••••••• J••••• · Co-Ceocontrolsince 04/2016 · owns less than 5%
- F••••• K•••••••• A•• · Managing Directorcontrolsince 04/2016 · owns less than 5%
- M••••••••• B•••••••• D•••• · Managing Director And General Counsel And Ccocontrolsince 03/2021 · owns less than 5%
- S•••••• J•••• F•••• · Co-Ceocontrolsince 04/2016 · owns less than 5%
- B•••••••• T•••••••• J••••• · Membercontrolsince 04/2016 · owns 50% to 75% of X•• H••••••• L••
- S•••••• J•••• F•••• · Membercontrolsince 04/2016 · owns 50% to 75% of X•• H••••••• L••
Entity owners
- X•• A•••• M••••••••• L•• · Memberdirect · owns 75% or more
- X•• H••••••• L•• · Memberindirect · owns 75% or more of Xms Asset Mangement LLC
Related persons
Schedule D 7.A
- X•• C•••••• P•••••••• L••broker-dealern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Chicago, Il · principal | 2 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 14 to 13Apr 11, 2025 to Mar 17, 2026
- Employees · 17 to 15Apr 11, 2025 to Mar 17, 2026
- Financial planning clients · to 0Apr 11, 2025 to Mar 17, 2026
- Discretionary RAUM · $950M to $866MApr 11, 2025 to Mar 17, 2026
- RAUM · $950M to $866MApr 11, 2025 to Mar 17, 2026
- Accounts · 1 to 3Apr 19, 2024 to Apr 11, 2025
- Advisory employees · 8 to 14Apr 19, 2024 to Apr 11, 2025
- BD registered reps · 8 to 12Apr 19, 2024 to Apr 11, 2025
- Employees · 12 to 17Apr 19, 2024 to Apr 11, 2025
- Financial planning clients · unset to Apr 19, 2024 to Apr 11, 2025
- Discretionary RAUM · $547M to $950MApr 19, 2024 to Apr 11, 2025
- RAUM · $547M to $950MApr 19, 2024 to Apr 11, 2025
- Discretionary RAUM · $411M to $547MMar 24, 2023 to Mar 26, 2024
- RAUM · $411M to $547MMar 24, 2023 to Mar 26, 2024
- Advisory employees · 9 to 8Mar 30, 2022 to Mar 24, 2023
- BD registered reps · 11 to 8Mar 30, 2022 to Mar 24, 2023
- Employees · 13 to 12Mar 30, 2022 to Mar 24, 2023
- State-registered IARs · 4 to 0Mar 30, 2022 to Mar 24, 2023
- Discretionary RAUM · $411M to $411MMar 30, 2022 to Mar 24, 2023
- RAUM · $411M to $411MMar 30, 2022 to Mar 24, 2023
- Advisory employees · 6 to 9Mar 30, 2021 to Mar 30, 2022
- BD registered reps · 8 to 11Mar 30, 2021 to Mar 30, 2022
- Employees · 8 to 13Mar 30, 2021 to Mar 30, 2022
- State-registered IARs · 1 to 4Mar 30, 2021 to Mar 30, 2022
- Discretionary RAUM · $147M to $411MMar 30, 2021 to Mar 30, 2022
- RAUM · $147M to $411MMar 30, 2021 to Mar 30, 2022
- Advisory employees · 7 to 6Mar 16, 2020 to Mar 30, 2021
- BD registered reps · 10 to 8Mar 16, 2020 to Mar 30, 2021
- Employees · 11 to 8Mar 16, 2020 to Mar 30, 2021
- Discretionary RAUM · $138M to $147MMar 16, 2020 to Mar 30, 2021
- RAUM · $138M to $147MMar 16, 2020 to Mar 30, 2021
- Advisory employees · 4 to 7Mar 19, 2019 to Mar 16, 2020
- BD registered reps · 8 to 10Mar 19, 2019 to Mar 16, 2020
- Employees · 8 to 11Mar 19, 2019 to Mar 16, 2020
- Discretionary RAUM · $107M to $138MMar 19, 2019 to Mar 16, 2020
- RAUM · $107M to $138MMar 19, 2019 to Mar 16, 2020
- BD registered reps · 7 to 8Mar 16, 2018 to Mar 19, 2019
- Employees · 7 to 8Mar 16, 2018 to Mar 19, 2019
- Discretionary RAUM · $121M to $107MMar 16, 2018 to Mar 19, 2019
- RAUM · $121M to $107MMar 16, 2018 to Mar 19, 2019
Signals
7 dated events
- J•••• B•••••• H•••• left X• I••••••••• for C•••••••• B••••••• I••••••••• S•••••••• I••• (registered 2026-03-04)May 7, 2026 · Advisor changed firm · fact
- X• I••••••••• reported RAUM $950.0M, up 74% from $547.1M (2024-04-19 to 2025-04-11)Apr 11, 2025 · RAUM change · derived
- X• I••••••••• reported RAUM $547.1M, up 33% from $410.6M (2023-03-24 to 2024-03-26)Mar 26, 2024 · RAUM change · derived
- X• I••••••••• reported RAUM $411.1M, up 180% from $146.7M (2021-03-30 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- Patrick John Mcgarrity (Managing Director And Cco) no longer on Schedule A of X• I••••••••• (listed 2020-03-16, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- David Benjamin Mcculloch (Managing Director And General Counsel) appeared on Schedule A of X• I•••••••••Mar 16, 2020 · Control person joined · fact
- X• I••••••••• filed its initial SEC registration (Form ADV)May 17, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- X• I••••••••• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/xa-investments-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- xflt.xainvestments.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-374-6930reportedpublic record, Form ADV, Mar 17, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $433Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026