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

C•••••••• W••••• M••••••••• L••

Former SEC-registered adviserChicago, IllinoisCRD 304169SEC 801-116783IAPD
Latest filing Oct 16, 2019
First filing on the tape May 14, 2019 · 6 filings
RAUM
$30.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$30.2M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$15.1M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$30.2M as of Oct 16, 2019
May 14, 2019$0 then
HNW client RAUM$26.3M as of Oct 16, 2019
Sep 17, 2019$26.3M then
State-registered IARs (5.B.3)0 as of Oct 16, 2019
May 14, 20190 then
Employees (5.A)1 as of Oct 16, 2019
May 14, 20191 then
Private funds: no history
Practice profile
derived from the filing of Oct 16, 2019; every figure names its basis
RAUM per advisor
$15.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
12derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.4MderivedHNW RAUM over HNW clients
Average account
$335,882derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
0.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 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, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
Custody
$7.9M, 14 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$26.3M87%
  • Individuals$4.0M13%
Individual clients
12reported
HNW clients
11reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
90reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$7.9M for 14 clientsreported
Compensation
% of AUM, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J••• P•••••• H•••••Certified Financial PlannerChicago, IlJun 13, 201916 y3
F•••••••• T••••• H•••••••••Southlake, Tx May 20, 202524 y0
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • H•••••• J•••• P•••••• · Managing Member And Chief Compliance Officercontrol
      since 05/2019 · 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
    OfficeAdvisorsJoinedLeftTeams outForming
    Chicago, Il · principal200
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 0 to 90
      Aug 9, 2019 to Sep 17, 2019
    • HNW clients · unset to 11.0
      Aug 9, 2019 to Sep 17, 2019
    • Individual clients · unset to 12.0
      Aug 9, 2019 to Sep 17, 2019
    • Assets in custody · unset to 7922635.0
      Aug 9, 2019 to Sep 17, 2019
    • Custody of client assets · false to true
      Aug 9, 2019 to Sep 17, 2019
    • Discretionary RAUM · $0 to $30.2M
      Aug 9, 2019 to Sep 17, 2019
    • HNW RAUM · unset to 26258500.0
      Aug 9, 2019 to Sep 17, 2019
    • Individual RAUM · unset to 3970900.0
      Aug 9, 2019 to Sep 17, 2019
    • RAUM · $0 to $30.2M
      Aug 9, 2019 to Sep 17, 2019
    • Financial planning clients · unset to 0
      May 14, 2019 to Jun 13, 2019
    Signals
    1 dated events
    • C•••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
      May 14, 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
    $15.1Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026