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
A•• F•••••••• P•••••••
Legal name S••••••• W••••• M••••••••• L••
Latest filing May 14, 2026
First filing on the tape May 14, 2026 · 1 filings
SEC status approved since Jun 12, 2026
RAUM
$121M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$121M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$60.5M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
1 filings and snapshots on the tape
RAUM: $121M
HNW client RAUM: $108M
State-registered IARs (5.B.3): 2
Employees (5.A): 2
Private funds: no history
Practice profile
derived from the filing of May 14, 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
- RAUM per advisor
- $60.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 34derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $403,052derivedRAUM 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
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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$108M89%
- Individuals$12.9M11%
- Individual clients
- 28reported
- HNW clients
- 39reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 300reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• B••••••• N••••Certified Financial Planner | Mount Prospect, Il | Aug 10, 2018 | 19 y | 1 |
| S••••••• H••• B•••••• | Yuma, Az | Sep 26, 2025 | 11 y | 0 |
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
- J••• B••••••• N•••• from M••••• W••••• P•••••••Aug 10, 2018 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N••••• J•••• B••••••• · President, Chief Compliance Officer, Membercontrolsince 07/2018 · 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 |
|---|---|---|---|---|---|
| Mount Prospect, Il · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
No event on the tape.
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
- h••••@a••.financialreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- r•••••@a••.financialreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 224-250-9373reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/alo-financial-planningreportedpublic record, Form ADV, Sep 18, 2026
- Website
- a••.financialreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (224) 250-9373reportedpublic record, Form ADV, May 14, 2026
- Team page
- a••.financialreportedpublished by the firm, firm site, Sep 16, 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
- $60.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026