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.
SEC-registered adviser
Chicago Capital, LLC
Latest filing Aug 7, 2026
First filing on the tape Dec 11, 2017 · 41 filings
SEC status approved since Jan 11, 2018
RAUM
$4.8B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$4.7B individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$438M
derived; firm RAUM over IAPD count
Employees
18
12 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
41 filings and snapshots on the tape
RAUM$4.8B as of Aug 7, 2026
Jan 25, 2019$1.6B then
HNW client RAUM$4.5B as of Aug 7, 2026
Jan 25, 2019$1.4B then
State-registered IARs (5.B.3)11 as of Aug 7, 2026
Jan 25, 20197 then
Employees (5.A)18 as of Aug 7, 2026
Jan 25, 20199 then
Private funds: no history
RAUM +7.7% over the last fiscal year+29% a year over threeIARs 12 to 11
Practice profile
derived from the filing of Aug 7, 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
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $438MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 74derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $10.2MderivedHNW RAUM over HNW clients
- Average account
- $2.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 11.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- -8.3%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
- Custody
- $2.6B, 346 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$4.5B94%
- Corporations and businesses$142M2.9%
- Individuals$116M2.4%
- Charitable organizations$25.1M0.5%
- Individual clients
- 373reported
- HNW clients
- 445reported
- Pension plan clients
- 0reported
- Charitable clients
- 14reported
- Accounts
- 2,319reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.6B for 346 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
11 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| David K MabieChartered Financial Analyst | Chicago, Il | Feb 19, 2018 | 32 y | 1 |
| Eric Scott Maddix | Chicago, Il | Feb 20, 2018 | 27 y | 1 |
| Stacey Lynn SargentCertified Financial Planner, Chartered Financial Analyst | Chicago, Il | Apr 4, 2018 | 30 y | 0 |
| Malinda Helen Distefano | Chicago, Il | Apr 13, 2018 | 25 y | 3 |
| Richard Mark FradinChartered Financial Analyst | Chicago, Il | May 11, 2020 | 31 y | 0 |
| Joann Mcclure Seagren | Chicago, Il | Nov 6, 2023 | 20 y | 6 |
| Mikhail Kimbarovsky | Chicago, Il | Nov 6, 2023 | 14 y | 4 |
| Peter Loring Goldman | Chicago, Il | Jan 9, 2024 | 31 y | 5 |
| Luis Pereda | Chicago, Il | Aug 13, 2024 | 12 y | 1 |
| Edward Joseph Malysiak | Chicago, Il | Oct 2, 2024 | 22 y | 2 |
| Scott Jarrett FrazinChartered Financial Analyst | Chicago, Il | Jan 2, 2025 | 13 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 headcount1 left over 36 months
Left, latest
- Jacob Hamlin to J.P. Morgan Securities LLCJul 1, 2025 · RIA to wirehouse
Joined, latest
- Scott Jarrett Frazin from CorientJan 2, 2025 · RIA to RIA
- Edward Joseph Malysiak from William Blair & Company L.L.C.Oct 2, 2024 · Affiliated broker-dealer or bank to independent RIA
- Luis Pereda from CorientAug 13, 2024 · RIA to RIA
- Peter Loring Goldman from Westwood Management CorporationJan 9, 2024 · RIA to RIA
- Mikhail Kimbarovsky from Jag Capital Management LLCNov 6, 2023 · RIA to RIA
- Joann Mcclure Seagren from Jag Capital Management LLCNov 6, 2023 · RIA to RIA
- Jacob Hamlin from Merrill Lynch, Pierce, Fenner & Smith IncorporatedAug 20, 2021 · Wirehouse to independent RIA
- Malinda Helen Distefano from William Blair & Company L.L.C.Apr 13, 2018 · Other
- Eric Scott Maddix from William Blair & Company L.L.C.Feb 20, 2018 · Other
- David K Mabie from William Blair & Company L.L.C.Feb 19, 2018 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Jag Capital Management LLCDec 1, 2023 · Chicago, Il
- 3 joined from William Blair & Company L.L.C.Mar 14, 2018 · Chicago, Il
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K David Mabie · Managing Partnercontrolsince 06/2018 · owns less than 5%
- Scott Eric Maddix · Managing Partnercontrolsince 06/2018 · owns less than 5%
- Lynn Stacey Sargent · Managing Partner/Chief Compliance Officercontrolsince 12/2019 · owns less than 5%
- K David Mabie · Managercontrolsince 12/2018 · owns F of Chi-Cap, LLC
Entity owners
- Chi-Cap, LLC · Memberdirect · owns 75% or more
- Mabie 2014 Gift Trust U/A/D 7/31/2014 · Memberindirect · owns 75% or more of Chi-Cap, LLC
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 |
|---|---|---|---|---|---|
| Chicago, Il · principal | 11 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 2,058 to 2,319Apr 23, 2025 to Jan 29, 2026
- Advisory employees · 13 to 12Apr 23, 2025 to Jan 29, 2026
- Advisory activities · 3 to 4Apr 23, 2025 to Jan 29, 2026
- Corporate clients · 7 to 6Apr 23, 2025 to Jan 29, 2026
- HNW clients · 398 to 445Apr 23, 2025 to Jan 29, 2026
- Individual clients · 337 to 373Apr 23, 2025 to Jan 29, 2026
- Assets in custody · $2.5B to $2.6BApr 23, 2025 to Jan 29, 2026
- State-registered IARs · 12 to 11Apr 23, 2025 to Jan 29, 2026
- Discretionary RAUM · $4.5B to $4.8BApr 23, 2025 to Jan 29, 2026
- HNW RAUM · $4.2B to $4.5BApr 23, 2025 to Jan 29, 2026
- Individual RAUM · $115M to $116MApr 23, 2025 to Jan 29, 2026
- Non-discretionary RAUM · $11.3M to $8.5MApr 23, 2025 to Jan 29, 2026
- RAUM · $4.5B to $4.8BApr 23, 2025 to Jan 29, 2026
- Financial planning clients · 11-25 to 11-25Mar 2, 2025 to Apr 23, 2025
- Accounts · 1,847 to 2,058Jan 30, 2025 to Mar 2, 2025
- Advisory employees · 10 to 13Jan 30, 2025 to Mar 2, 2025
- Advisory activities · 5 to 3Jan 30, 2025 to Mar 2, 2025
- Charity clients · 13 to 14Jan 30, 2025 to Mar 2, 2025
- HNW clients · 343 to 398Jan 30, 2025 to Mar 2, 2025
- Individual clients · 319 to 337Jan 30, 2025 to Mar 2, 2025
- Assets in custody · unset to 2532395246.0Jan 30, 2025 to Mar 2, 2025
- Custody of client assets · false to trueJan 30, 2025 to Mar 2, 2025
- Employees · 14 to 18Jan 30, 2025 to Mar 2, 2025
- Financial planning clients · 1-10 to 11-25Jan 30, 2025 to Mar 2, 2025
- State-registered IARs · 9 to 12Jan 30, 2025 to Mar 2, 2025
- Discretionary RAUM · $3.5B to $4.5BJan 30, 2025 to Mar 2, 2025
- HNW RAUM · $3.3B to $4.2BJan 30, 2025 to Mar 2, 2025
- Individual RAUM · $107M to $115MJan 30, 2025 to Mar 2, 2025
- Non-discretionary RAUM · $12.2M to $11.3MJan 30, 2025 to Mar 2, 2025
- RAUM · $3.5B to $4.5BJan 30, 2025 to Mar 2, 2025
- Accounts · 1,514 to 1,847Jan 25, 2024 to Feb 14, 2024
- Advisory employees · 7 to 10Jan 25, 2024 to Feb 14, 2024
- HNW clients · 256 to 343Jan 25, 2024 to Feb 14, 2024
- Individual clients · 314 to 319Jan 25, 2024 to Feb 14, 2024
- Assets in custody · 1271316628.0 to unsetJan 25, 2024 to Feb 14, 2024
- Custody of client assets · true to falseJan 25, 2024 to Feb 14, 2024
- Employees · 11 to 14Jan 25, 2024 to Feb 14, 2024
- State-registered IARs · 6 to 9Jan 25, 2024 to Feb 14, 2024
- Discretionary RAUM · $2.2B to $3.5BJan 25, 2024 to Feb 14, 2024
- HNW RAUM · $2.1B to $3.3BJan 25, 2024 to Feb 14, 2024
Signals
19 dated events
- Jacob Hamlin left Chicago Capital, Llc for J.P. Morgan Securities Llc (registered 2025-07-22)Jul 1, 2025 · Advisor changed firm · fact
- Chicago Capital, Llc reported RAUM $4.5B, up 27% from $3.5B (2025-01-30 to 2025-03-02)Mar 2, 2025 · RAUM change · derived
- Chicago Capital, Llc reported RAUM $3.5B, up 56% from $2.3B (2024-01-25 to 2024-02-14)Feb 14, 2024 · RAUM change · derived
- Mark Richard Fradin (Partner) no longer on Schedule A of Chicago Capital, Llc (listed 2024-01-25, absent 2024-02-14)Feb 14, 2024 · Control person left · inference
- Ryan Jacob Hamlin (Partner) no longer on Schedule A of Chicago Capital, Llc (listed 2024-01-25, absent 2024-02-14)Feb 14, 2024 · Control person left · inference
- Mcclure Joann Seagren (Partner) no longer on Schedule A of Chicago Capital, Llc (listed 2024-01-25, absent 2024-02-14)Feb 14, 2024 · Control person left · inference
- Mikhail Kimbarovsky (Partner) no longer on Schedule A of Chicago Capital, Llc (listed 2024-01-25, absent 2024-02-14)Feb 14, 2024 · Control person left · inference
- Mcclure Joann Seagren (Partner) appeared on Schedule A of Chicago Capital, LlcJan 2, 2024 · Control person joined · fact
- Mikhail Kimbarovsky (Partner) appeared on Schedule A of Chicago Capital, LlcJan 2, 2024 · Control person joined · fact
- 2 advisors left Jag Capital Management LLC (Chicago, IL) for Chicago Capital, LLC on the same dayDec 1, 2023 · Team lift-out · derived
- Chicago Capital, Llc reported RAUM $2.3B, down 28% from $3.2B (2022-05-05 to 2023-02-06)Feb 6, 2023 · RAUM change · derived
- Ryan Jacob Hamlin (Partner) appeared on Schedule A of Chicago Capital, LlcSep 8, 2021 · Control person joined · fact
- William James Mabie (Partner, Chairman) no longer on Schedule A of Chicago Capital, Llc (listed 2021-05-18, absent 2021-05-19)May 19, 2021 · Control person left · inference
- Chicago Capital, Llc reported RAUM $2.7B, up 31% from $2.0B (2020-10-08 to 2021-02-02)Feb 2, 2021 · RAUM change · derived
- Mark Richard Fradin (Partner) appeared on Schedule A of Chicago Capital, LlcMay 14, 2020 · Control person joined · fact
- Chicago Capital, Llc reported RAUM $2.0B, up 29% from $1.6B (2019-01-25 to 2020-02-21)Feb 21, 2020 · RAUM change · derived
- Andrew John Shea (Partner) no longer on Schedule A of Chicago Capital, Llc (listed 2019-01-25, absent 2020-02-21)Feb 21, 2020 · Control person left · inference
- Chicago Capital, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)Jul 31, 2018 · Succession (Item 4) · fact
- Chicago Capital, Llc filed its initial SEC registration (Form ADV)Dec 11, 2017 · 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
- Firm profile
- linkedin.com/company/chicago-capitalreportedpublic record, Form ADV, Sep 17, 2026
- Website
- chi-cap.com chicagocapital.com chicagocapital.netreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 312-429-2333reportedpublic record, Form ADV, Aug 7, 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
- $438Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026