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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Former SEC-registered adviser

A••••• I••••••••• M••••••••• L••

Former SEC-registered adviserOakbrook Terrace, IllinoisCRD 291990SEC 801-116699IAPD
Latest filing Mar 17, 2023
First filing on the tape Apr 26, 2019 · 12 filings
RAUM
$18.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$18.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$18.0M as of Feb 21, 2023
Mar 16, 2020$14.0M then
HNW client RAUM$4.0M as of Feb 24, 2021
Mar 16, 2020$10.0M then
State-registered IARs (5.B.3)3 as of Feb 21, 2023
Mar 16, 20203 then
Employees (5.A)3 as of Feb 21, 2023
Mar 16, 20203 then
Private funds: no history
RAUM -31% over the last fiscal year+8.7% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 17, 2023; every figure names its basis
RAUM per advisor
$6.0MderivedRAUM 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
$300,000derivedRAUM 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
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-31%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$18.0M100%
Individual clients
60reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
60reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • K••••• J•••• J••••• · Managing Membercontrol
      since 01/2018 · owns 50% to 75%
    • T••••• K••••••• S••••• · Managing Member And Chief Compliance Officercontrol
      since 01/2018 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 75 to 60
      Jul 26, 2022 to Feb 21, 2023
    • Discretionary RAUM · $26.0M to $18.0M
      Jul 26, 2022 to Feb 21, 2023
    • Individual RAUM · $26.0M to $18.0M
      Jul 26, 2022 to Feb 21, 2023
    • RAUM · $26.0M to $18.0M
      Jul 26, 2022 to Feb 21, 2023
    • Accounts · 70 to 75
      Feb 24, 2021 to Mar 28, 2022
    • Advisory activities · 2 to 1
      Feb 24, 2021 to Mar 28, 2022
    • HNW clients · 4.0 to unset
      Feb 24, 2021 to Mar 28, 2022
    • Individual clients · 47 to 60
      Feb 24, 2021 to Mar 28, 2022
    • Discretionary RAUM · $23.0M to $26.0M
      Feb 24, 2021 to Mar 28, 2022
    • HNW RAUM · 4000000.0 to unset
      Feb 24, 2021 to Mar 28, 2022
    • Individual RAUM · $19.0M to $26.0M
      Feb 24, 2021 to Mar 28, 2022
    • RAUM · $23.0M to $26.0M
      Feb 24, 2021 to Mar 28, 2022
    • Accounts · 49 to 70
      Jan 20, 2021 to Feb 24, 2021
    • Advisory activities · 1 to 2
      Jan 20, 2021 to Feb 24, 2021
    • HNW clients · 15 to 4
      Jan 20, 2021 to Feb 24, 2021
    • Individual clients · 25 to 47
      Jan 20, 2021 to Feb 24, 2021
    • Discretionary RAUM · $14.0M to $23.0M
      Jan 20, 2021 to Feb 24, 2021
    • HNW RAUM · $10.0M to $4.0M
      Jan 20, 2021 to Feb 24, 2021
    • Individual RAUM · $4.0M to $19.0M
      Jan 20, 2021 to Feb 24, 2021
    • RAUM · $14.0M to $23.0M
      Jan 20, 2021 to Feb 24, 2021
    • Accounts · 23 to 49
      Apr 26, 2019 to Mar 16, 2020
    • HNW clients · unset to 15.0
      Apr 26, 2019 to Mar 16, 2020
    • Individual clients · 21 to 25
      Apr 26, 2019 to Mar 16, 2020
    • Discretionary RAUM · $6.0M to $14.0M
      Apr 26, 2019 to Mar 16, 2020
    • HNW RAUM · unset to 10000000.0
      Apr 26, 2019 to Mar 16, 2020
    • Individual RAUM · $6.0M to $4.0M
      Apr 26, 2019 to Mar 16, 2020
    • RAUM · $6.0M to $14.0M
      Apr 26, 2019 to Mar 16, 2020
    Signals
    4 dated events
    • J••• J••••• K•••• left A••••• I••••••••• M••••••••• L•• for A••••• R••••••• L•• (registered 2023-01-03)
      Apr 17, 2023 · Advisor changed firm · fact
    • James Richard Oswald no longer registered at A••••• I••••••••• M••••••••• L••; no later IA registration on IAPD
      Apr 17, 2023 · Advisor departure · fact
    • Kenneth Steven Tomko no longer registered at A••••• I••••••••• M••••••••• L••; no later IA registration on IAPD
      Apr 17, 2023 · Advisor departure · fact
    • A••••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
      Apr 26, 2019 · 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.
    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
    Former SEC-registered adviserderiveda 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