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•• O•• C•••••• M••••••••• I•••

Former SEC-registered adviserOak Brook, IllinoisCRD 284188SEC 801-112768IAPD
Latest filing Aug 3, 2023
First filing on the tape Mar 5, 2018 · 49 filings
RAUM
$85.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$85.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
8 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
49 filings and snapshots on the tape
RAUM$85.0M as of Feb 17, 2023
Feb 8, 2019$101M then
HNW client RAUM$43.4M as of Feb 17, 2023
Feb 8, 2019$25.0M then
State-registered IARs (5.B.3)8 as of Feb 17, 2023
Feb 8, 20191 then
Employees (5.A)10 as of Feb 17, 2023
Feb 8, 20193 then
Private funds: no history
RAUM -63% over the last fiscal year-11% a year over threeIARs 10 to 8offices 6 to 4
Practice profile
derived from the filing of Aug 3, 2023; every figure names its basis
RAUM per advisor
$10.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
45derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$602,812derivedHNW RAUM over HNW clients
Average account
$123,744derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
1.6derived5 offices incl. principal (1.F.5)
RAUM growth, one year
-63%derivedbetween the last two annual amendments
Advisor growth, one year
-20%derivedItem 5.B.3 between annual amendments
Client growth, one year
-46%derived
Compensation
percentage of assets, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
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 an insurance broker or agent (6.A.6)
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$43.4M51%
  • Individuals$41.6M49%
  • Corporations and businesses$51,1990.1%
Individual clients
290reported
HNW clients
72reported
Pension plan clients
0reported
Charitable clients
n/areported
Accounts
687reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, commissionsreported
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
    • S••••• J•••• M••••••• · Ceo & Chief Compliance Officercontrol
      since 02/2018 · owns 75% or more
    Related persons
    Schedule D 7.A
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Charlotte, Nc000
    Mishawaka, In000
    Northbrook, Il000
    Oak Brook, Il · principal000
    Offices
    Schedule D 1.F, the 25 largest
    • Saint Joseph, MI3 employees
    • St. Charles, IL2 employees
    • Charlotte, NC1 employees
    • Mishawaka, IN1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 1,256 to 687
      Oct 7, 2022 to Feb 17, 2023
    • Advisory employees · 11 to 8
      Oct 7, 2022 to Feb 17, 2023
    • HNW clients · 71 to 72
      Oct 7, 2022 to Feb 17, 2023
    • Individual clients · 605 to 290
      Oct 7, 2022 to Feb 17, 2023
    • Pension plan clients · unset to 0.0
      Oct 7, 2022 to Feb 17, 2023
    • Employees · 15 to 10
      Oct 7, 2022 to Feb 17, 2023
    • State-registered IARs · 10 to 8
      Oct 7, 2022 to Feb 17, 2023
    • Other offices · 6 to 4
      Oct 7, 2022 to Feb 17, 2023
    • Discretionary RAUM · $231M to $85.0M
      Oct 7, 2022 to Feb 17, 2023
    • HNW RAUM · $127M to $43.4M
      Oct 7, 2022 to Feb 17, 2023
    • Individual RAUM · $103M to $41.6M
      Oct 7, 2022 to Feb 17, 2023
    • Pension RAUM · $1.5M to $0
      Oct 7, 2022 to Feb 17, 2023
    • RAUM · $231M to $85.0M
      Oct 7, 2022 to Feb 17, 2023
    • Advisory activities · 2 to 3
      Apr 1, 2022 to Apr 1, 2022
    • BD registered reps · 1 to 2
      Apr 1, 2022 to Apr 1, 2022
    • Commission compensation · false to true
      Apr 1, 2022 to Apr 1, 2022
    • Accounts · 1,009 to 1,256
      Feb 24, 2022 to Mar 30, 2022
    • Advisory employees · 9 to 11
      Feb 24, 2022 to Mar 30, 2022
    • Advisory activities · 1 to 2
      Feb 24, 2022 to Mar 30, 2022
    • BD registered reps · 0 to 1
      Feb 24, 2022 to Mar 30, 2022
    • Charity clients · 1.0 to unset
      Feb 24, 2022 to Mar 30, 2022
    • Corporate clients · 3.0 to unset
      Feb 24, 2022 to Mar 30, 2022
    • HNW clients · 43 to 71
      Feb 24, 2022 to Mar 30, 2022
    • Individual clients · 466 to 605
      Feb 24, 2022 to Mar 30, 2022
    • Pension plan clients · 0.0 to unset
      Feb 24, 2022 to Mar 30, 2022
    • Employees · 10 to 15
      Feb 24, 2022 to Mar 30, 2022
    • Financial planning clients · unset to 1-10
      Feb 24, 2022 to Mar 30, 2022
    • State-registered IARs · 7 to 10
      Feb 24, 2022 to Mar 30, 2022
    • Discretionary RAUM · $202M to $231M
      Feb 24, 2022 to Mar 30, 2022
    • HNW RAUM · $87.9M to $127M
      Feb 24, 2022 to Mar 30, 2022
    • Individual RAUM · $113M to $103M
      Feb 24, 2022 to Mar 30, 2022
    • Pension RAUM · $0 to $1.5M
      Feb 24, 2022 to Mar 30, 2022
    • RAUM · $202M to $231M
      Feb 24, 2022 to Mar 30, 2022
    • Related broker-dealer · false to true
      Feb 1, 2022 to Feb 24, 2022
    • Other offices · 5 to 6
      Apr 19, 2021 to Apr 20, 2021
    • Accounts · 726 to 1,009
      Feb 17, 2021 to Mar 31, 2021
    • HNW clients · 28 to 43
      Feb 17, 2021 to Mar 31, 2021
    • Individual clients · 489 to 466
      Feb 17, 2021 to Mar 31, 2021
    • Pension plan clients · 1 to 0
      Feb 17, 2021 to Mar 31, 2021
    • Discretionary RAUM · $120M to $202M
      Feb 17, 2021 to Mar 31, 2021
    Signals
    13 dated events
    • J••• M••••••• S•••• left R•• O•• C•••••• M••••••••• I••• for O••••••• (registered 2023-04-24)
      Nov 3, 2023 · Advisor changed firm · fact
    • G•••••• S••••• S••••• left R•• O•• C•••••• M••••••••• I••• for W••••••••• W•••••• L•• (registered 2023-09-25)
      Nov 3, 2023 · Advisor changed firm · fact
    • P••••• A••••• G•••••• left R•• O•• C•••••• M••••••••• I••• for A•••••••• W••••• L•• (registered 2024-02-08)
      Nov 3, 2023 · Advisor changed firm · fact
    • P••••• H•••••• E•••• left R•• O•• C•••••• M••••••••• I••• for O••••••• (registered 2023-05-01)
      Nov 3, 2023 · Advisor changed firm · fact
    • J••• W••••• Y•••• left R•• O•• C•••••• M••••••••• I••• for C••••••• W••••• P•••••••• L•• (registered 2023-08-03)
      Aug 1, 2023 · Advisor changed firm · fact
    • K•• D•••• left R•• O•• C•••••• M••••••••• I••• for O••••••• (registered 2023-05-31)
      Aug 1, 2023 · Advisor changed firm · fact
    • S••••• S••••••• M•••••• left R•• O•• C•••••• M••••••••• I••• for I• N••••••• L•• (registered 2023-03-14)
      Mar 10, 2023 · Advisor changed firm · fact
    • R•• O•• C•••••• M••••••••• I••• reported RAUM $85.0M, down 63% from $231.2M (2022-10-07 to 2023-02-17)
      Feb 17, 2023 · RAUM change · derived
    • C••••••••• D•••• D•••••• left R•• O•• C•••••• M••••••••• I••• for F•••• W••••• A•••••••• I••• (registered 2023-01-25)
      Feb 2, 2023 · Advisor changed firm · fact
    • T••••• E••••• C•••••• left R•• O•• C•••••• M••••••••• I••• for I••••• F•••••••• A••••••• (registered 2026-01-29)
      Dec 1, 2022 · Advisor changed firm · fact
    • L••• P•• N••••• left R•• O•• C•••••• M••••••••• I••• for S••••••• I••••••••• A••••••• (registered 2022-06-16)
      Apr 30, 2022 · Advisor changed firm · fact
    • A••••• P••••• G•••••• (Chief Compliance Officer) no longer on Schedule A of R•• O•• C•••••• M••••••••• I••• (listed 2019-08-20, absent 2019-10-08)
      Oct 8, 2019 · Control person left · inference
    • R•• O•• C•••••• M••••••••• filed its initial SEC registration (Form ADV)
      Mar 5, 2018 · ria f•••• adv filing · 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