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
F••••••• I•••••••• • C•
Legal name F••••••• I•••••••• • C••
Latest filing Sep 14, 2026
First filing on the tape Feb 24, 2012 · 27 filings
SEC status approved since Dec 1, 1997
RAUM
$2.0B
reported, Item 5.F
Discretionary
69%
of RAUM
Private clients
91%
$1.8B individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$398M
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$1.7B as of Sep 16, 2025
Aug 29, 2012$1.5B then
HNW client RAUM$1.6B as of Sep 16, 2025
Sep 24, 2018$809M then
State-registered IARs (5.B.3)5 as of Sep 16, 2025
Aug 29, 20120 then
Employees (5.A)6 as of Sep 16, 2025
Aug 30, 20133 then
Private funds: no history
RAUM -25% over the last fiscal year-11% a year over threeIARs 4 to 5
Practice profile
derived from the filing of Sep 14, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $398MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 36derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $10.1MderivedHNW RAUM over HNW clients
- Average account
- $10.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 69%derivedof RAUM
- Institutional
- 1.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -43%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $559M, 51 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)
- 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$1.8B91%
- Corporations and businesses$150M7.5%
- Charitable organizations$19.0M1.0%
- Pension and profit-sharing plans$11.8M0.6%
- Individual clients
- 0reported
- HNW clients
- 179reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 190reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $559M for 51 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.91 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••• M•••••• I•••••••• | Downers Grove, Il | Feb 25, 1999 | 41 y | 0 |
| T•••••• M• H••• | Downers Grove, Il | Feb 25, 1999 | 31 y | 0 |
| M•••••• A•••••• I••••••••Certified Financial Planner | Downers Grove, Il | Mar 3, 2022 | 12 y | 0 |
| M•••••• C••• H•••Certified Financial Planner | Downers Grove, Il | Mar 16, 2023 | 11 y | 0 |
| A••••• E•••• L•• F•••••• | Downers Grove, Il | May 22, 2024 | 12 y | 1 |
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
- A••••• E•••• L•• F•••••• from E•••••••• A•••••••• L••May 22, 2024 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••••• W••••••• M••••• · Chairman & Chief Executive Officer & Chief Compliance Officercontrolsince 09/1997 · owns less than 5%
- I••••••••• A•••• M•••••• · President & Chief Operating Officercontrolsince 09/1997 · owns less than 5%
- F••••••• B••••••• A•• · Trusteecontrolsince 12/2021 · owns F of B•••••• A• F•••••• R•••••••• T••••
- F••••••• W••••••• M••••• · Trusteecontrolsince 12/2021 · owns F of W•••••• M• F•••••• R•••••••• T••••
- H•••• T••••••• M• · Trusteecontrolsince 12/2021 · owns F of T•••••• M• H••• R•••••••• T••••
- H•••• W••••• W• · Trusteecontrolsince 12/2021 · owns F of W•••• H••• R•••••••• T••••
- I••••••••• A•••• M•••••• · Trusteecontrolsince 12/2021 · owns F of A••• M• I•••••••• L••••• T••••
- I••••••••• K•••••• A• · Trusteecontrolsince 12/2021 · owns F of K••••• A• I•••••••• L••••• T••••
- H•••• T••••••• M• · Executive Vice Presidentsince 01/2001 · owns less than 5%
- I••••••••• M••••••• A•••••• · Vice President And Shareholdersince 01/2023 · owns 5% to 10%
Entity owners
- A••• M• I•••••••• L••••• T•••• · Shareholderdirect · owns 10% to 25%
- W•••••• M• F•••••• R•••••••• T•••• · Shareholderdirect · owns 10% to 25%
- B•••••• A• F•••••• R•••••••• T•••• · Non-Voting Shareholderdirect · owns 10% to 25%
- K••••• A• I•••••••• L••••• T•••• · Non-Voting Shareholderdirect · owns 10% to 25%
- T•••••• M• H••• R•••••••• T•••• · Shareholderdirect · owns 5% to 10%
- W•••• H••• R•••••••• T•••• · Non-Voting Shareholderdirect · 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 |
|---|---|---|---|---|---|
| Downers Grove, Il · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Sep 14, 2026H•••• W••••• W• (TRUSTEE) left Schedule A between the filings of 2023-06-01 and 2026-09-14peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Sep 14, 2026I••••••••• K•••••• A• (TRUSTEE) left Schedule A between the filings of 2023-06-01 and 2026-09-14peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Sep 14, 2026F••••••• B••••••• A•• (TRUSTEE) left Schedule A between the filings of 2023-06-01 and 2026-09-14peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 188 to 190Sep 16, 2025 to Sep 14, 2026
- HNW clients · 177 to 179Sep 16, 2025 to Sep 14, 2026
- Assets in custody · $374M to $559MSep 16, 2025 to Sep 14, 2026
- Financial planning clients · to unsetSep 16, 2025 to Sep 14, 2026
- Discretionary RAUM · $1.2B to $1.4BSep 16, 2025 to Sep 14, 2026
- HNW RAUM · $1.6B to $1.8BSep 16, 2025 to Sep 14, 2026
- Non-discretionary RAUM · $521M to $613MSep 16, 2025 to Sep 14, 2026
- Pension RAUM · $10.0M to $11.8MSep 16, 2025 to Sep 14, 2026
- RAUM · $1.7B to $2.0BSep 16, 2025 to Sep 14, 2026
- Succession · false to unsetSep 16, 2025 to Sep 14, 2026
- Accounts · 180 to 188Jan 2, 2025 to Sep 16, 2025
- HNW clients · 169 to 177Jan 2, 2025 to Sep 16, 2025
- Assets in custody · $236M to $374MJan 2, 2025 to Sep 16, 2025
- Discretionary RAUM · $1.1B to $1.2BJan 2, 2025 to Sep 16, 2025
- HNW RAUM · $1.4B to $1.6BJan 2, 2025 to Sep 16, 2025
- Non-discretionary RAUM · $464M to $521MJan 2, 2025 to Sep 16, 2025
- Pension RAUM · $12.4M to $10.0MJan 2, 2025 to Sep 16, 2025
- RAUM · $1.5B to $1.7BJan 2, 2025 to Sep 16, 2025
- Financial planning clients · unset to Sep 24, 2024 to Jan 2, 2025
- Related insurance company · false to trueSep 24, 2024 to Jan 2, 2025
- Accounts · 167 to 180Sep 18, 2023 to Sep 24, 2024
- Advisory employees · 5 to 6Sep 18, 2023 to Sep 24, 2024
- HNW clients · 155 to 169Sep 18, 2023 to Sep 24, 2024
- Assets in custody · $227M to $236MSep 18, 2023 to Sep 24, 2024
- Employees · 5 to 6Sep 18, 2023 to Sep 24, 2024
- State-registered IARs · 4 to 5Sep 18, 2023 to Sep 24, 2024
- Discretionary RAUM · $831M to $1.1BSep 18, 2023 to Sep 24, 2024
- HNW RAUM · $1.1B to $1.4BSep 18, 2023 to Sep 24, 2024
- Non-discretionary RAUM · $1.8B to $464MSep 18, 2023 to Sep 24, 2024
- Pension RAUM · $10.9M to $12.4MSep 18, 2023 to Sep 24, 2024
- RAUM · $2.6B to $1.5BSep 18, 2023 to Sep 24, 2024
- Accounts · 172 to 167Jun 1, 2023 to Sep 18, 2023
- Advisory employees · 4 to 5Jun 1, 2023 to Sep 18, 2023
- HNW clients · 160 to 155Jun 1, 2023 to Sep 18, 2023
- Assets in custody · $216M to $227MJun 1, 2023 to Sep 18, 2023
- Employees · 4 to 5Jun 1, 2023 to Sep 18, 2023
- State-registered IARs · 3 to 4Jun 1, 2023 to Sep 18, 2023
- Discretionary RAUM · $753M to $831MJun 1, 2023 to Sep 18, 2023
- HNW RAUM · $1.0B to $1.1BJun 1, 2023 to Sep 18, 2023
- Non-discretionary RAUM · $1.7B to $1.8BJun 1, 2023 to Sep 18, 2023
Signals
4 dated events
- F••••••• I•••••••• • C• reported RAUM $1.5B, down 43% from $2.6B (2023-09-18 to 2024-09-24)Sep 24, 2024 · RAUM change · derived
- Ann B•••••• F•••••• (Trustee) appeared on Schedule A of F••••••• I•••••••• • C•Dec 17, 2021 · Control person joined · fact
- A K••••• I•••••••• (Trustee) appeared on Schedule A of F••••••• I•••••••• • C•Dec 17, 2021 · Control person joined · fact
- W W•••• H••• (Trustee) appeared on Schedule A of F••••••• I•••••••• • C•Dec 17, 2021 · Control person joined · 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
- j•••••••@f•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 630-663-1800reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 630-663-9519reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 630-663-9572reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- F••••••I••••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 630-663-1800reportedpublic record, Form ADV, Sep 14, 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
- $398Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026