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••••••• C•••••• M••••••••• L••
Latest filing Feb 13, 2026
First filing on the tape Mar 5, 2019 · 19 filings
SEC status approved since Apr 2, 2019
RAUM
$200M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
45%
$89.7M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$66.7M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$200M as of Feb 13, 2026
Mar 30, 2020$92.0M then
HNW client RAUM$84.9M as of Feb 13, 2026
Mar 30, 2020$11.3M then
State-registered IARs (5.B.3)3 as of Feb 13, 2026
Mar 30, 20202 then
Employees (5.A)3 as of Feb 13, 2026
Mar 30, 20202 then
Private funds: no history
RAUM +9.3% over the last fiscal year-5.9% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 13, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $66.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 27derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $905,583derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%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
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.8%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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
- Other investment advisers$110M55%
- High-net-worth individuals$84.9M42%
- Individuals$4.9M2.4%
- Corporations and businesses$537,2280.3%
- Individual clients
- 11reported
- HNW clients
- 69reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 221reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.45 fund_share=0.55 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• A•••••• T•••••••Chartered Financial Analyst | Indian Head Park, Il | Apr 2, 2019 | 25 y | 2 |
| D•••• M•••••• T•••••••Chartered Financial Analyst | Indian Head Park, Il | May 14, 2019 | 14 y | 2 |
| T••••• H••••Chartered Financial Analyst | Indian Head Park, Il | Apr 21, 2021 | 33 y | 4 |
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
- T••••• H•••• from L••••• A•••• C••••••••• L••Apr 21, 2021 · Other
- D•••• M•••••• T••••••• from K••••• A•••••••• L••May 14, 2019 · Other
- M•••••• A•••••• T••••••• from K••••• A•••••••• L••Apr 2, 2019 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from K••••• A•••••••• L••May 16, 2019 · Wheaton, Il
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T•••••••• D••••• M•••••• · Membercontrolsince 02/2019 · owns 25% to 50%
- T•••••••• M••••••• A•••••• · Member/Ccocontrolsince 02/2019 · owns 25% to 50%
- T•••••••• D••••• M•••••• · Non-Operational Partnersince 02/2019 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Indian Head Park, Il | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- account count collapseChange between filings · filing Feb 13, 2026accounts (Item 5.F.2.f) moved from 600.0 to 221.0 (-63.0%) between the annual amendments of 2025-03-05 and 2026-02-13; the peer median change was +5.0% (3687 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 1.7% percentile
- business activity changedChange between filings · filing Feb 13, 2026pension consulting (Item 5.G.6): no on the filing of 2025-03-05, yes on the filing of 2026-02-13peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 600 to 221Mar 5, 2025 to Feb 13, 2026
- Advisory activities · 2 to 3Mar 5, 2025 to Feb 13, 2026
- Corporate clients · unset to 1.0Mar 5, 2025 to Feb 13, 2026
- HNW clients · 59 to 69Mar 5, 2025 to Feb 13, 2026
- Individual clients · 25 to 11Mar 5, 2025 to Feb 13, 2026
- Discretionary RAUM · $172M to $190MMar 5, 2025 to Feb 13, 2026
- HNW RAUM · $64.1M to $84.9MMar 5, 2025 to Feb 13, 2026
- Individual RAUM · $15.6M to $4.9MMar 5, 2025 to Feb 13, 2026
- Non-discretionary RAUM · $10.9M to $10.5MMar 5, 2025 to Feb 13, 2026
- RAUM · $183M to $200MMar 5, 2025 to Feb 13, 2026
- Accounts · 309 to 600Aug 21, 2024 to Mar 5, 2025
- Charity clients · 0.0 to unsetAug 21, 2024 to Mar 5, 2025
- Corporate clients · 0.0 to unsetAug 21, 2024 to Mar 5, 2025
- HNW clients · 72 to 59Aug 21, 2024 to Mar 5, 2025
- Individual clients · 29 to 25Aug 21, 2024 to Mar 5, 2025
- Pension plan clients · 0.0 to unsetAug 21, 2024 to Mar 5, 2025
- Pooled vehicle clients · 0.0 to unsetAug 21, 2024 to Mar 5, 2025
- Financial planning clients · 26-50 to 51-100Aug 21, 2024 to Mar 5, 2025
- HQ city · unset to Aug 21, 2024 to Mar 5, 2025
- HQ state · unset to Aug 21, 2024 to Mar 5, 2025
- Other offices · 1 to 2Aug 21, 2024 to Mar 5, 2025
- Discretionary RAUM · $184M to $172MAug 21, 2024 to Mar 5, 2025
- HNW RAUM · $66.7M to $64.1MAug 21, 2024 to Mar 5, 2025
- Individual RAUM · $6.1M to $15.6MAug 21, 2024 to Mar 5, 2025
- Non-discretionary RAUM · $9.3M to $10.9MAug 21, 2024 to Mar 5, 2025
- Pension RAUM · 0.0 to unsetAug 21, 2024 to Mar 5, 2025
- Pooled vehicle RAUM · 0.0 to unsetAug 21, 2024 to Mar 5, 2025
- RAUM · $194M to $183MAug 21, 2024 to Mar 5, 2025
- HNW clients · 69 to 72Mar 3, 2023 to Mar 5, 2024
- Individual clients · 39 to 29Mar 3, 2023 to Mar 5, 2024
- Discretionary RAUM · $233M to $184MMar 3, 2023 to Mar 5, 2024
- HNW RAUM · $69.4M to $66.7MMar 3, 2023 to Mar 5, 2024
- Individual RAUM · $8.5M to $6.1MMar 3, 2023 to Mar 5, 2024
- Non-discretionary RAUM · $7.0M to $9.3MMar 3, 2023 to Mar 5, 2024
- RAUM · $240M to $194MMar 3, 2023 to Mar 5, 2024
- Accounts · 122 to 309Sep 26, 2022 to Mar 3, 2023
- Advisory activities · 3 to 2Sep 26, 2022 to Mar 3, 2023
- HNW clients · 82 to 69Sep 26, 2022 to Mar 3, 2023
- Individual clients · 32 to 39Sep 26, 2022 to Mar 3, 2023
- Financial planning clients · 1-10 to 26-50Sep 26, 2022 to Mar 3, 2023
Signals
8 dated events
- T••••••• C•••••• M••••••••• L•• reported RAUM $240.3M, down 42% from $416.0M (2022-09-26 to 2023-03-03)Mar 3, 2023 · RAUM change · derived
- T••••••• C•••••• M••••••••• L•• reported RAUM $416.0M, up 98% from $210.6M (2022-02-04 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Joseph John Hassett (Manager) no longer on Schedule A of T••••••• C•••••• M••••••••• L•• (listed 2021-03-18, absent 2022-02-04)Feb 4, 2022 · Control person left · inference
- D•••• G•••• (Shareholder) no longer on Schedule A of T••••••• C•••••• M••••••••• L•• (listed 2021-03-18, absent 2022-02-04)Feb 4, 2022 · Control person left · inference
- T••••••• C•••••• M••••••••• L•• reported RAUM $232.7M, up 153% from $92.0M (2020-07-01 to 2020-08-12)Aug 12, 2020 · RAUM change · derived
- Joseph John Hassett (Manager) appeared on Schedule A of T••••••• C•••••• M••••••••• L••Mar 30, 2020 · Control person joined · fact
- D•••• G•••• (Shareholder) appeared on Schedule A of T••••••• C•••••• M••••••••• L••Mar 30, 2020 · Control person joined · fact
- T••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 5, 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.
How to reach
public business contact points only, each with its source
- Business phone
- 312-278-1003reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- t•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (312) 278 1003reportedpublic record, Form ADV, Feb 13, 2026
- Contact form
- t•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- t•••••••••.comreportedpublished 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $66.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026