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
S• I••••••••• M••••••••• L••
Latest filing Mar 19, 2026
First filing on the tape Mar 30, 2021 · 6 filings
SEC status approved since Apr 29, 2021
RAUM
$699M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$699M as of Mar 19, 2026
Mar 8, 2022$450M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 19, 2026
Mar 8, 20220 then
Employees (5.A)1 as of Mar 19, 2026
Mar 8, 20221 then
Private funds1 as of Mar 19, 2026
Mar 8, 20221 then
RAUM +7.2% over the last fiscal year+18% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 19, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM 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
- $699MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.2%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 assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $699M, 1 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$699M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $699M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
none on the tape
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••• P••••••• L• | Hedge Fund | $438M | 81 | Sep 18, 2017 |
Owners and control persons
Schedule A and B, latest filing
- W••••• S••••••• R••••• · Managing Member And Chief Compliance Officercontrolsince 09/2015 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $651M to $699MMar 13, 2025 to Mar 19, 2026
- Discretionary RAUM · $651M to $699MMar 13, 2025 to Mar 19, 2026
- Pooled vehicle RAUM · $651M to $699MMar 13, 2025 to Mar 19, 2026
- RAUM · $651M to $699MMar 13, 2025 to Mar 19, 2026
- Assets in custody · $438M to $651MMar 26, 2024 to Mar 13, 2025
- Financial planning clients · unset to Mar 26, 2024 to Mar 13, 2025
- HQ city · unset to Mar 26, 2024 to Mar 13, 2025
- HQ state · unset to Mar 26, 2024 to Mar 13, 2025
- Discretionary RAUM · $438M to $651MMar 26, 2024 to Mar 13, 2025
- Pooled vehicle RAUM · $438M to $651MMar 26, 2024 to Mar 13, 2025
- RAUM · $438M to $651MMar 26, 2024 to Mar 13, 2025
- Assets in custody · $423M to $438MMar 27, 2023 to Mar 26, 2024
- Other offices · 1 to 0Mar 27, 2023 to Mar 26, 2024
- Discretionary RAUM · $423M to $438MMar 27, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $423M to $438MMar 27, 2023 to Mar 26, 2024
- RAUM · $423M to $438MMar 27, 2023 to Mar 26, 2024
- Assets in custody · $450M to $423MMar 8, 2022 to Mar 27, 2023
- Discretionary RAUM · $450M to $423MMar 8, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $450M to $423MMar 8, 2022 to Mar 27, 2023
- RAUM · $450M to $423MMar 8, 2022 to Mar 27, 2023
- Assets in custody · $309M to $450MMar 30, 2021 to Mar 8, 2022
- HQ city · CHICAGO to unsetMar 30, 2021 to Mar 8, 2022
- HQ state · IL to unsetMar 30, 2021 to Mar 8, 2022
- Private funds · 2 to 1Mar 30, 2021 to Mar 8, 2022
- Discretionary RAUM · $309M to $450MMar 30, 2021 to Mar 8, 2022
- Pooled vehicle RAUM · $309M to $450MMar 30, 2021 to Mar 8, 2022
- RAUM · $309M to $450MMar 30, 2021 to Mar 8, 2022
Signals
3 dated events
- S• I••••••••• M••••••••• L•• reported RAUM $651.5M, up 49% from $438.4M (2024-03-26 to 2025-03-13)Mar 13, 2025 · RAUM change · derived
- S• I••••••••• M••••••••• L•• reported RAUM $450.5M, up 46% from $309.3M (2021-03-30 to 2022-03-08)Mar 8, 2022 · RAUM change · derived
- S• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 30, 2021 · 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
- 773-818-7873reportedpublic record, Form ADV, Mar 19, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026