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
T•• D••• G••••• L••
Latest filing Jul 15, 2026
First filing on the tape Feb 16, 2018 · 20 filings
SEC status approved since May 5, 2023
RAUM
$265M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
100%
$265M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$29.5M
derived; firm RAUM over IAPD count
Employees
11
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$265M as of Jul 15, 2026
Feb 29, 2024$128M then
HNW client RAUM$178M as of Jul 15, 2026
Feb 29, 2024$79.1M then
State-registered IARs (5.B.3)7 as of Jul 15, 2026
Feb 29, 20243 then
Employees (5.A)11 as of Jul 15, 2026
Feb 29, 20244 then
Private funds: no history
RAUM +37% over the last fiscal yearIARs 5 to 7
Practice profile
derived from the filing of Jul 15, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $29.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 29derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $245,571derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 9.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +37%derivedbetween the last two annual amendments
- Advisor growth, one year
- +40%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.6%derived
- Compensation
- percentage of assets, hourly, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- $238MreportedItem 5.I
- Custody
- $156M, 139 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
- is an insurance broker or agent (6.A.6)
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$178M67%
- Individuals$87.6M33%
- Individual clients
- 192reported
- HNW clients
- 70reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,080reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $156M for 139 clientsreported
- Compensation
- % of AUM, hourly, commissionsreported
- 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
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• D•••• H•••••••Certified Financial Planner | Hoffman Estates, Il | Mar 21, 2018 | 14 y | 1 |
| S•••• J• B•••••• | Hoffman Estates, Il | Jan 4, 2023 | 16 y | 1 |
| K••••••• C•••••••• V••••••Certified Financial Planner | Hoffman Estates, Il | Jan 29, 2024 | 12 y | 3 |
| T••• D••••• R•••• | Hoffman Estates, Il | Oct 17, 2024 | 12 y | 0 |
| T••• M•••• B••••••Certified Financial Planner, Chartered Financial Analyst | Hoffman Estates, Il | Apr 14, 2025 | 22 y | 3 |
| L•••••• M•••• | Hoffman Estates, Il | Sep 29, 2025 | 10 y | 0 |
| P••••• R• B•••••••• | Hoffman Estates, Il | Feb 2, 2026 | 10 y | 0 |
| D••• R••• A••••••••Certified Financial Planner | Hoffman Estates, Il | Mar 3, 2026 | 12 y | 1 |
| A••••• S••••• | Hoffman Estates, Il | Jul 27, 2026 | 10 y | 0 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 11% of current headcount1 left over 36 months
Left, latest
- M•••••• L•••• H••••• to T•••••••••Feb 24, 2026 · RIA to a state-registered adviser
Joined, latest
- D••• R••• A•••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 3, 2026 · Wirehouse to independent RIA
- T••• M•••• B•••••• from C••••••Apr 14, 2025 · Affiliated broker-dealer or bank to independent RIA
- K••••••• C•••••••• V•••••• from C••••••Jan 29, 2024 · RIA to RIA
- S•••• J• B•••••• from F•••• T•••• S••••••••• I•••Jan 4, 2023 · Affiliated broker-dealer or bank to independent RIA
- M•••••• D•••• H••••••• from W•••••• • R•••Mar 21, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••••• M••••••• D•••• · Management Member & Chief Compliance Officercontrolsince 03/2018 · owns less than 5%
- H•••••••• M••••••• D•••• · Sole Trusteecontrolsince 06/2021 · owns F of M••• H••••••• R•••••••• L••••• T••••
Entity owners
- M••• H••••••• R•••••••• L••••• T•••• · Ownerdirect · owns 75% or more
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 |
|---|---|---|---|---|---|
| Hoffman Estates, Il · principal | 9 | 4 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 10, 2026HNW share of RAUM moved from 22.0% to 67.0% between the annual amendments of 2025-01-22 and 2026-03-10peers: independent wealth managers, $100M to $500M (5,676)
- RAUM up 25 %Change between filings · filing Mar 10, 2026RAUM (Item 5.F) moved from $193,658,200 to $265,216,193 (+37.0%) between the annual amendments of 2025-01-22 and 2026-03-10; the peer median change was +15.0% (4550 comparable advisers, 91.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 91% percentile
What changed
consecutive filings, newest first
- Accounts · 982 to 1,080Jun 27, 2025 to Mar 10, 2026
- Advisory employees · 5 to 7Jun 27, 2025 to Mar 10, 2026
- Advisory activities · 4 to 3Jun 27, 2025 to Mar 10, 2026
- HNW clients · 76 to 70Jun 27, 2025 to Mar 10, 2026
- Individual clients · 163 to 192Jun 27, 2025 to Mar 10, 2026
- Commission compensation · false to trueJun 27, 2025 to Mar 10, 2026
- Assets in custody · $118M to $156MJun 27, 2025 to Mar 10, 2026
- Employees · 5 to 11Jun 27, 2025 to Mar 10, 2026
- Financial planning clients · 11-25 to 251-500Jun 27, 2025 to Mar 10, 2026
- State-registered IARs · 5 to 7Jun 27, 2025 to Mar 10, 2026
- Discretionary RAUM · $188M to $260MJun 27, 2025 to Mar 10, 2026
- HNW RAUM · $41.7M to $178MJun 27, 2025 to Mar 10, 2026
- Individual RAUM · $152M to $87.6MJun 27, 2025 to Mar 10, 2026
- Non-discretionary RAUM · $5.5M to $5.7MJun 27, 2025 to Mar 10, 2026
- RAUM · $194M to $265MJun 27, 2025 to Mar 10, 2026
- Wrap assets (manager) · $194M to $0Jun 27, 2025 to Mar 10, 2026
- Wrap assets (sponsor) · $194M to $0Jun 27, 2025 to Mar 10, 2026
- Financial planning clients · 11-25 to 11-25Jan 22, 2025 to Jun 27, 2025
- Accounts · 753 to 982Aug 22, 2024 to Jan 22, 2025
- Advisory employees · 3 to 5Aug 22, 2024 to Jan 22, 2025
- HNW clients · 54 to 76Aug 22, 2024 to Jan 22, 2025
- Individual clients · 155 to 163Aug 22, 2024 to Jan 22, 2025
- Assets in custody · $26.9M to $118MAug 22, 2024 to Jan 22, 2025
- Employees · 4 to 5Aug 22, 2024 to Jan 22, 2025
- State-registered IARs · 3 to 5Aug 22, 2024 to Jan 22, 2025
- Discretionary RAUM · $123M to $188MAug 22, 2024 to Jan 22, 2025
- HNW RAUM · $79.1M to $41.7MAug 22, 2024 to Jan 22, 2025
- Individual RAUM · $46.8M to $152MAug 22, 2024 to Jan 22, 2025
- Non-discretionary RAUM · $4.8M to $5.5MAug 22, 2024 to Jan 22, 2025
- Pension RAUM · 1987310.0 to unsetAug 22, 2024 to Jan 22, 2025
- RAUM · $128M to $194MAug 22, 2024 to Jan 22, 2025
- Wrap assets (manager) · $117M to $194MAug 22, 2024 to Jan 22, 2025
- Wrap assets (sponsor) · $0 to $194MAug 22, 2024 to Jan 22, 2025
- Accounts · 698 to 753Sep 8, 2023 to Feb 29, 2024
- HNW clients · 29 to 54Sep 8, 2023 to Feb 29, 2024
- Individual clients · 166 to 155Sep 8, 2023 to Feb 29, 2024
- Assets in custody · $35 to $26.9MSep 8, 2023 to Feb 29, 2024
- Discretionary RAUM · $103M to $123MSep 8, 2023 to Feb 29, 2024
- HNW RAUM · $48.7M to $79.1MSep 8, 2023 to Feb 29, 2024
- Individual RAUM · $56.4M to $46.8MSep 8, 2023 to Feb 29, 2024
Signals
2 dated events
- M•••••• L•••• H••••• left T•• D••• G••••• L•• for Tapestryfp (registered 2026-05-19)Feb 24, 2026 · Advisor changed firm · fact
- T•• D••• G••••• L•• filed its initial SEC registration (Form ADV)Feb 16, 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.
How to reach
public business contact points only, each with its source
- Business email
- team@thedalagroup.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 847-485-0248reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- thedalagroup.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 847-485-0248reportedpublic record, Form ADV, Jul 15, 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
- $29.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026