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

E••••• A•••• A•••••••• L••

Former SEC-registered adviserChicago, IllinoisCRD 289391SEC 801-113373IAPD
Latest filing Nov 15, 2019
First filing on the tape May 3, 2018 · 7 filings
RAUM
$36.3M
reported, Item 5.F
Discretionary
24%
of RAUM
Private clients
24%
$8.8M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$36.3M as of Nov 15, 2019
May 3, 2018$0 then
HNW client RAUM$0 as of Nov 15, 2019
May 3, 2018$0 then
State-registered IARs (5.B.3)3 as of Nov 15, 2019
May 3, 20183 then
Employees (5.A)3 as of Nov 15, 2019
May 3, 20183 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Nov 15, 2019; every figure names its basis
RAUM per advisor
$12.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
0derivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$12.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
24%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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 individualsreportedItem 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
  • 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
  • Other investment advisers$27.6M76%
  • Individuals$8.8M24%
Individual clients
1reported
HNW clients
0reported
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
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
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
  • R••••••• A•••••• L••• · Principalcontrol
    since 01/2018 · owns less than 5%
  • S•••••••• B••••• S•••• · Ccocontrol
    since 01/2018 · owns less than 5%
  • R••••••• A•••••• L••• · Principalcontrol
    since 06/2010 · owns 25% to 50% of T•• S••••••• V••••••••• G••••• L••
  • S•••••••• B••••• S•••• · Principalcontrol
    since 06/2010 · owns 25% to 50% of T•• S••••••• V••••••••• G••••• L••
  • T••••• J•••••• A•••• · Principalcontrol
    since 06/2010 · owns 25% to 50% of T•• S••••••• V••••••••• G••••• L••
  • S••••••• C•••• · Owner
    since 08/2016 · owns 25% to 50% of C• S•••••• I••••••••• L••
  • S••••••• C•••••• · Owner
    since 08/2016 · owns 25% to 50% of C• S•••••• I••••••••• L••
  • V••••••• D•••• W•••••• · Owner
    since 08/2016 · owns 25% to 50% of L•••••• L••
Entity owners
  • C• S•••••• I••••••••• L•• · Owner
    direct · owns 25% to 50%
  • L•••••• L•• · Owner
    direct · owns 25% to 50%
  • T•• S••••••• V••••••••• G••••• L•• · Owner
    direct · owns 50% to 75%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Individual clients · 0 to 1
    Oct 3, 2018 to Mar 30, 2019
  • Discretionary RAUM · $11.2M to $8.8M
    Oct 3, 2018 to Mar 30, 2019
  • Individual RAUM · $0 to $8.8M
    Oct 3, 2018 to Mar 30, 2019
  • Non-discretionary RAUM · $49.2M to $27.6M
    Oct 3, 2018 to Mar 30, 2019
  • RAUM · $60.5M to $36.3M
    Oct 3, 2018 to Mar 30, 2019
  • Accounts · 0 to 3
    Sep 26, 2018 to Oct 3, 2018
  • Discretionary RAUM · $0 to $11.2M
    Sep 26, 2018 to Oct 3, 2018
  • Non-discretionary RAUM · $0 to $49.2M
    Sep 26, 2018 to Oct 3, 2018
  • RAUM · $0 to $60.5M
    Sep 26, 2018 to Oct 3, 2018
Signals
1 dated events
  • E••••• A•••• A•••••••• L•• filed its initial SEC registration (Form ADV)
    May 3, 2018 · 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