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••••••••• L••
Latest filing Jul 31, 2026
First filing on the tape Dec 8, 2016 · 30 filings
SEC status approved since Jan 3, 2017
RAUM
$1.4B
reported, Item 5.F
Discretionary
67%
of RAUM
Private clients
63%
$911M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$288M
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$1.4B as of Jul 31, 2026
Mar 20, 2018$263M then
HNW client RAUM$890M as of Jul 31, 2026
Mar 20, 2018$230M then
State-registered IARs (5.B.3)5 as of Jul 31, 2026
Mar 20, 20182 then
Employees (5.A)7 as of Jul 31, 2026
Mar 20, 20182 then
Private funds2 as of Jul 31, 2026
Mar 20, 20181 then
RAUM +10% over the last fiscal year+16% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Jul 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $288MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 40derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.0MderivedHNW RAUM over HNW clients
- Average account
- $2.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 67%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.0%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $429M, 128 clientsreportedItem 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$890M92%
- Pooled investment vehicles$42.7M4.4%
- Individuals$20.9M2.2%
- Corporations and businesses$15.7M1.6%
- Charitable organizations$774,7600.1%
- Individual clients
- 51reported
- HNW clients
- 149reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 710reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $429M for 128 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.63 fund_share=0.03 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• C•••••• K••••••Chartered Financial Analyst | Deerfield, Il | Jul 27, 2017 | 16 y | 1 |
| A••• •••• C•••Chartered Financial Analyst, Chartered Investment Counselor | Deerfield, Il | Jul 27, 2017 | 27 y | 2 |
| D••••••• F•••••• | Deerfield, Il | May 2, 2018 | 27 y | 2 |
| T••• A••• N••••••• | Deerfield, Il | Sep 21, 2018 | 13 y | 0 |
| C••••••••• I••••• E•••••••Chartered Financial Analyst | Deerfield, Il | Jan 15, 2019 | 32 y | 3 |
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 headcount0 left over 36 months
Left, latest
- N••••• W•••••• G••••• to F•••••••• I••••••••• A•••••••• L••Jan 4, 2023 · RIA to RIA
Joined, latest
- C••••••••• I••••• E••••••• from C•••• H••• A••••••••• L••Jan 15, 2019 · Other
- D••••••• F•••••• from C•••• H••• A••••••••• L••May 2, 2018 · Other
- J••• C•••••• K•••••• from C•••• H••• A••••••••• L••Jul 27, 2017 · Other
- A••• •••• C••• from C•••• H••• A••••••••• L••Jul 27, 2017 · Other
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••••••• C•••••• C••• F•••• L• | Other Private Fund | $31.8M | 42 | Sep 19, 2017 |
| P••••••• V•• F•••• L• | Other Private Fund | $10.8M | 40 | Jul 13, 2021 |
| P••••••• V•••• O••••••••• F•••• L•no longer reported | Other Private Fund | $776,216 | 2 | Apr 29, 2019 |
| P••••••• O••••• F•••• L•no longer reported | Other Private Fund | $600,000 | 2 | Apr 29, 2019 |
Owners and control persons
Schedule A and B, latest filing
- C•••• A•••• •••• · Manager, Presidentcontrolsince 07/2016 · owns 50% to 75%
- E•••••••• C••••••••• I••••• · Managing Director/Chief Compliance Officercontrolsince 08/2026 · owns 25% to 50%
- K••••• D•••• H•••••••• · Chief Compliance Officercontrolsince 04/2018 · owns less than 5%
Related persons
Schedule D 7.A
- P••••••• C•••••• C••• F••• G•• L••pooled vehicle sponsory
- P••••••• V•• F••• G•• L••pooled vehicle sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Deerfield, Il · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jul 31, 2026K••••• D•••• H•••••••• (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2020-02-12 and 2026-07-31peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 600 to 710Mar 26, 2025 to Mar 25, 2026
- HNW clients · 142 to 149Mar 26, 2025 to Mar 25, 2026
- Individual clients · 56 to 51Mar 26, 2025 to Mar 25, 2026
- Assets in custody · $358M to $429MMar 26, 2025 to Mar 25, 2026
- Discretionary RAUM · $824M to $970MMar 26, 2025 to Mar 25, 2026
- HNW RAUM · $739M to $890MMar 26, 2025 to Mar 25, 2026
- Individual RAUM · $22.8M to $20.9MMar 26, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $477M to $468MMar 26, 2025 to Mar 25, 2026
- Pension RAUM · 75570.0 to unsetMar 26, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $47.1M to $42.7MMar 26, 2025 to Mar 25, 2026
- RAUM · $1.3B to $1.4BMar 26, 2025 to Mar 25, 2026
- Accounts · 641 to 600Mar 21, 2024 to Mar 26, 2025
- HNW clients · 148 to 142Mar 21, 2024 to Mar 26, 2025
- Individual clients · 48 to 56Mar 21, 2024 to Mar 26, 2025
- Assets in custody · $281M to $358MMar 21, 2024 to Mar 26, 2025
- Financial planning clients · 0 to 0Mar 21, 2024 to Mar 26, 2025
- Discretionary RAUM · $800M to $824MMar 21, 2024 to Mar 26, 2025
- HNW RAUM · $692M to $739MMar 21, 2024 to Mar 26, 2025
- Individual RAUM · $16.0M to $22.8MMar 21, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $363M to $477MMar 21, 2024 to Mar 26, 2025
- Pension RAUM · $32.3M to $75,570Mar 21, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $47.7M to $47.1MMar 21, 2024 to Mar 26, 2025
- RAUM · $1.2B to $1.3BMar 21, 2024 to Mar 26, 2025
- Accounts · 601 to 641Nov 8, 2023 to Mar 21, 2024
- HNW clients · 126 to 148Nov 8, 2023 to Mar 21, 2024
- Individual clients · 45 to 48Nov 8, 2023 to Mar 21, 2024
- Assets in custody · $246M to $281MNov 8, 2023 to Mar 21, 2024
- Discretionary RAUM · $646M to $800MNov 8, 2023 to Mar 21, 2024
- HNW RAUM · $550M to $692MNov 8, 2023 to Mar 21, 2024
- Individual RAUM · $11.6M to $16.0MNov 8, 2023 to Mar 21, 2024
- Non-discretionary RAUM · $269M to $363MNov 8, 2023 to Mar 21, 2024
- Pension RAUM · $34.6M to $32.3MNov 8, 2023 to Mar 21, 2024
- Pooled vehicle RAUM · $40.6M to $47.7MNov 8, 2023 to Mar 21, 2024
- RAUM · $914M to $1.2BNov 8, 2023 to Mar 21, 2024
- Other offices · 1 to 0Mar 23, 2023 to Jul 21, 2023
- Accounts · 551 to 601Sep 7, 2022 to Mar 23, 2023
- Advisory employees · 6 to 5Sep 7, 2022 to Mar 23, 2023
- HNW clients · 118 to 126Sep 7, 2022 to Mar 23, 2023
- Individual clients · 44 to 45Sep 7, 2022 to Mar 23, 2023
- Assets in custody · $332M to $246MSep 7, 2022 to Mar 23, 2023
Signals
6 dated events
- P••••••• I••••••••• L•• reported RAUM $1.2B, up 27% from $914.3M (2023-11-08 to 2024-03-21)Mar 21, 2024 · RAUM change · derived
- N••••• W•••••• G••••• left P••••••• I••••••••• L•• for F•••••••• I••••••••• A•••••••• L•• (registered 2023-02-13)Jan 4, 2023 · Advisor changed firm · fact
- P••••••• I••••••••• L•• reported RAUM $1.0B, up 27% from $796.2M (2021-07-13 to 2022-03-22)Mar 22, 2022 · RAUM change · derived
- Irving Christopher Engelman (Managing Director) appeared on Schedule A of P••••••• I••••••••• L••Feb 12, 2020 · Control person joined · fact
- P••••••• I••••••••• L•• reported RAUM $528.8M, up 55% from $342.2M (2019-03-29 to 2019-04-29)Apr 29, 2019 · RAUM change · derived
- P••••••• I••••••••• L•• filed its initial SEC registration (Form ADV)Dec 8, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- P••••••• I••••••••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/parkside-investreportedpublic record, Form ADV, Sep 19, 2026
- Website
- P•••••••INV.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (312) 778-7700reportedpublic record, Form ADV, Jul 31, 2026
- Team page
- parksideinv.com/teamreportedpublished by the firm, firm site, Sep 15, 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
- $288Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026