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••••• P•••••• W•••••• L••
Latest filing Jun 23, 2026
First filing on the tape Apr 25, 2023 · 12 filings
SEC status approved since May 25, 2023
RAUM
$190M
reported, Item 5.F
Discretionary
81%
of RAUM
Private clients
94%
$178M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$47.4M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$190M as of Jun 23, 2026
Mar 10, 2024$144M then
HNW client RAUM$162M as of Jun 23, 2026
Mar 10, 2024$123M then
State-registered IARs (5.B.3)4 as of Jun 23, 2026
Mar 10, 20244 then
Employees (5.A)4 as of Jun 23, 2026
Mar 10, 20244 then
Private funds: no history
RAUM +9.8% over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Jun 23, 2026; every figure names its basis
- RAUM per advisor
- $47.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 20derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.4MderivedHNW RAUM over HNW clients
- Average account
- $670,256derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 81%derivedof RAUM
- Institutional
- 5.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, publicationsreportedItem 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
- High-net-worth individuals$162M86%
- Individuals$16.2M8.6%
- Charitable organizations$11.2M5.9%
- Individual clients
- 41reported
- HNW clients
- 37reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 283reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••••• B•••• S••••••Chartered Financial Analyst | Chicago, Il | Jan 2, 2018 | 14 y | 0 |
| M•••••• J•••• L••••• | Chicago, Il | Aug 27, 2018 | 38 y | 0 |
| T••••• J••• L••••••• | Chicago, Il | Feb 25, 2019 | 10 y | 0 |
| D•••• A••••• V•••••• | Chicago, Il | Dec 20, 2019 | 19 y | 2 |
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
- B•••••• A• D••• to F••••••• P••••••• A•• W•••••••• A•••••••Mar 18, 2020 · RIA to affiliated broker-dealer or bank
Joined, latest
- D•••• A••••• V•••••• from M••••• S••••••Dec 20, 2019 · Wirehouse to independent RIA
- B•••••• A• D••• from T••••••• I••••••••• M••••••••• I•••Jan 2, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• J•••••••• B•••• · Chief Compliance Officercontrolsince 04/2023 · owns less than 5%
- L•••••••• T•••••• J••• · Membercontrolsince 01/2019 · owns 50% to 75% of A•••••• V•••• L••
- L•••••• M••••••• J•••• · Membercontrolsince 01/2019 · owns 50% to 75% of A•••••• V•••• L••
- S••••••• J•••••••• B•••• · Managing Membercontrolsince 08/2013 · owns 25% to 50% of T••••• I••••••••• G•••• L••
- V••••••• D••••• A••••• · Ownercontrolsince 01/2020 · owns F of B••• L••• C••••••• L••
- V••••••• D••••• A••••• · Membercontrolsince 01/2020 · owns 25% to 50% of T••••• I••••••••• G•••• L••
Entity owners
- T••••• I••••••••• G•••• L•• · Ownerdirect · owns 75% or more
- A•••••• V•••• L•• · Memberindirect · owns 25% to 50% of T••••• I••••••••• G•••• L••
- B••• L••• C••••••• L•• · Ownerindirect · owns 25% to 50% of T••••• I••••••••• G•••• L••
Related persons
Schedule D 7.A
- M•••••• R••• D••••••••• C•••••• L••n
- R•••••••• P•••••••• L••n
- T••••• T•• • A••••••• S••••••• L••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Chicago, Il · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Southl•••, TX1 employees
What changed
consecutive filings, newest first
- Accounts · 244 to 283Aug 21, 2025 to Feb 18, 2026
- Corporate clients · 1 to 0Aug 21, 2025 to Feb 18, 2026
- HNW clients · 33 to 37Aug 21, 2025 to Feb 18, 2026
- Individual clients · 38 to 41Aug 21, 2025 to Feb 18, 2026
- Discretionary RAUM · $144M to $154MAug 21, 2025 to Feb 18, 2026
- HNW RAUM · $150M to $162MAug 21, 2025 to Feb 18, 2026
- Individual RAUM · $12.8M to $16.2MAug 21, 2025 to Feb 18, 2026
- Non-discretionary RAUM · $28.5M to $35.6MAug 21, 2025 to Feb 18, 2026
- RAUM · $173M to $190MAug 21, 2025 to Feb 18, 2026
- Advisory activities · 2 to 3Mar 12, 2025 to Aug 21, 2025
- Accounts · 258 to 244Aug 8, 2024 to Mar 12, 2025
- Advisory activities · 5 to 2Aug 8, 2024 to Mar 12, 2025
- Charity clients · 2 to 1Aug 8, 2024 to Mar 12, 2025
- Corporate clients · 0 to 1Aug 8, 2024 to Mar 12, 2025
- HNW clients · 32 to 33Aug 8, 2024 to Mar 12, 2025
- Individual clients · 42 to 38Aug 8, 2024 to Mar 12, 2025
- Financial planning clients · 26-50 to 11-25Aug 8, 2024 to Mar 12, 2025
- Discretionary RAUM · $128M to $144MAug 8, 2024 to Mar 12, 2025
- HNW RAUM · $123M to $150MAug 8, 2024 to Mar 12, 2025
- Individual RAUM · $11.4M to $12.8MAug 8, 2024 to Mar 12, 2025
- Non-discretionary RAUM · $15.9M to $28.5MAug 8, 2024 to Mar 12, 2025
- RAUM · $144M to $173MAug 8, 2024 to Mar 12, 2025
- Accounts · 234 to 258Aug 30, 2023 to Mar 10, 2024
- Charity clients · 1 to 2Aug 30, 2023 to Mar 10, 2024
- HNW clients · 28 to 32Aug 30, 2023 to Mar 10, 2024
- Individual clients · 40 to 42Aug 30, 2023 to Mar 10, 2024
- Discretionary RAUM · $119M to $128MAug 30, 2023 to Mar 10, 2024
- HNW RAUM · $106M to $123MAug 30, 2023 to Mar 10, 2024
- Individual RAUM · $10.8M to $11.4MAug 30, 2023 to Mar 10, 2024
- Non-discretionary RAUM · $5.3M to $15.9MAug 30, 2023 to Mar 10, 2024
- RAUM · $124M to $144MAug 30, 2023 to Mar 10, 2024
- Business name · T••••• A•••• M••••••••• L•• to S••••• P•••••• W•••••• L••Mar 10, 2024 to Mar 10, 2024
- Legal name · T••••• A•••• M••••••••• L•• to S••••• P•••••• W•••••• L••Mar 10, 2024 to Mar 10, 2024
- Other offices · 0 to 1May 2, 2023 to Jun 2, 2023
Signals
1 dated events
- T••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Apr 25, 2023 · 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
- Business phone
- 312-796-7546reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/signet-private-wealthreportedpublic record, Form ADV, Sep 18, 2026
- Website
- S•••••-INVEST.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (312) 796-7546reportedpublic record, Form ADV, Jun 23, 2026
- Team page
- SIGNET-INVEST.COM/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $47.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026