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•••• P••••••• P•••••••
Legal name P•••• P••••••• P•••••••• L••
Latest filing Mar 2, 2026
First filing on the tape Feb 5, 2020 · 17 filings
SEC status approved since Mar 24, 2022
RAUM
$242M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$242M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$60.4M
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
17 filings and snapshots on the tape
RAUM$242M as of Mar 2, 2026
Mar 29, 2021$79.6M then
HNW client RAUM$222M as of Mar 2, 2026
Mar 29, 2021$74.4M then
State-registered IARs (5.B.3)4 as of Mar 2, 2026
Mar 29, 20213 then
Employees (5.A)4 as of Mar 2, 2026
Mar 29, 20213 then
Private funds: no history
RAUM +26% over the last fiscal year+20% a year over threeIARs 4 to 4offices 0 to 1
Practice profile
derived from the filing of Mar 2, 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
- RAUM per advisor
- $60.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $501,126derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +28%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$222M92%
- Individuals$19.8M8.2%
- Individual clients
- 96reported
- HNW clients
- 55reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 482reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| N••••• M•••• S•••••••Certified Financial Planner | Libertyville, Il | Jan 2, 2018 | 14 y | 2 |
| R••••• A• B••••••••Certified Financial Planner, Personal Financial Specialist | Rancho Mirage, Ca | Jan 2, 2018 | 21 y | 2 |
| D••••• W•••••• P•••••Certified Financial Planner | Libertyville, Il | Aug 1, 2018 | 20 y | 2 |
| B•••••• J•••• C••••• | Libertyville, Il | May 31, 2024 | 14 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
none on the tape
Joined, latest
- B•••••• J•••• C••••• from A•••• I••••••••• A•••••••• L••May 31, 2024 · RIA to RIA
- D••••• W•••••• P••••• from A•••• I••••••••• A•••••••• L••Aug 1, 2018 · RIA to RIA
- N••••• M•••• S••••••• from A•••• I••••••••• A•••••••• L••Jan 2, 2018 · Other
- R••••• A• B•••••••• from A•••• I••••••••• A•••••••• L••Jan 2, 2018 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from A•••• I••••••••• A•••••••• L••Jan 2, 2018 · Deerfield, Il
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••••• R•••••• A• · Managing Membercontrolsince 10/2017 · owns 50% to 75%
- S•••••••• N•••••• M•••• · Chief Compliance Officer, Co-Foundercontrolsince 10/2017 · owns 25% to 50%
- P•••••• D•••••• W•••••• · Director Of Operations / Ownersince 01/2023 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Libertyville, Il · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 382 to 482Sep 3, 2025 to Mar 2, 2026
- HNW clients · 49 to 55Sep 3, 2025 to Mar 2, 2026
- Individual clients · 69 to 96Sep 3, 2025 to Mar 2, 2026
- Discretionary RAUM · $191M to $242MSep 3, 2025 to Mar 2, 2026
- HNW RAUM · $170M to $222MSep 3, 2025 to Mar 2, 2026
- Individual RAUM · $21.1M to $19.8MSep 3, 2025 to Mar 2, 2026
- RAUM · $191M to $242MSep 3, 2025 to Mar 2, 2026
- Other offices · 0 to 1Mar 7, 2025 to Sep 3, 2025
- Accounts · 292 to 382Oct 1, 2024 to Mar 7, 2025
- Advisory employees · 3 to 4Oct 1, 2024 to Mar 7, 2025
- HNW clients · 37 to 49Oct 1, 2024 to Mar 7, 2025
- Individual clients · 56 to 69Oct 1, 2024 to Mar 7, 2025
- Employees · 3 to 4Oct 1, 2024 to Mar 7, 2025
- Financial planning clients · 26-50 to 51-100Oct 1, 2024 to Mar 7, 2025
- State-registered IARs · 3 to 4Oct 1, 2024 to Mar 7, 2025
- Discretionary RAUM · $164M to $191MOct 1, 2024 to Mar 7, 2025
- HNW RAUM · $152M to $170MOct 1, 2024 to Mar 7, 2025
- Individual RAUM · $12.3M to $21.1MOct 1, 2024 to Mar 7, 2025
- RAUM · $164M to $191MOct 1, 2024 to Mar 7, 2025
- Accounts · 253 to 292Oct 26, 2023 to Mar 7, 2024
- HNW clients · 50 to 37Oct 26, 2023 to Mar 7, 2024
- Individual clients · 37 to 56Oct 26, 2023 to Mar 7, 2024
- Financial planning clients · 11-25 to 26-50Oct 26, 2023 to Mar 7, 2024
- Discretionary RAUM · $139M to $164MOct 26, 2023 to Mar 7, 2024
- HNW RAUM · $133M to $152MOct 26, 2023 to Mar 7, 2024
- Individual RAUM · $5.8M to $12.3MOct 26, 2023 to Mar 7, 2024
- RAUM · $139M to $164MOct 26, 2023 to Mar 7, 2024
- Accounts · 242 to 253Oct 31, 2022 to Mar 23, 2023
- HNW clients · 42 to 50Oct 31, 2022 to Mar 23, 2023
- Individual clients · 38 to 37Oct 31, 2022 to Mar 23, 2023
- Financial planning clients · 26-50 to 11-25Oct 31, 2022 to Mar 23, 2023
- Discretionary RAUM · $133M to $139MOct 31, 2022 to Mar 23, 2023
- HNW RAUM · $126M to $133MOct 31, 2022 to Mar 23, 2023
- Individual RAUM · $7.6M to $5.8MOct 31, 2022 to Mar 23, 2023
- RAUM · $133M to $139MOct 31, 2022 to Mar 23, 2023
- Accounts · 331 to 242May 19, 2021 to Feb 22, 2022
- Individual clients · 35 to 38May 19, 2021 to Feb 22, 2022
- Discretionary RAUM · $79.6M to $133MMay 19, 2021 to Feb 22, 2022
- HNW RAUM · $74.4M to $126MMay 19, 2021 to Feb 22, 2022
- Individual RAUM · $5.2M to $7.6MMay 19, 2021 to Feb 22, 2022
Signals
1 dated events
- P•••• P••••••• P••••••• filed its initial SEC registration (Form ADV)Feb 5, 2020 · 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
- 847-250-9870reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/prismplanningpartnersreportedpublic record, Form ADV, Sep 18, 2026
- Website
- prismplanningpartners.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (847) 250-9870reportedpublic record, Form ADV, Mar 2, 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
- $60.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026