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
L•••••• O•• I••••••••• M•••••••••
Legal name L•••••• O•• I••••••••• M••••••••• L••
Latest filing Mar 14, 2026
First filing on the tape May 22, 2019 · 39 filings
SEC status approved since Jun 21, 2019
RAUM
$1.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
15
registered through the firm on IAPD
RAUM per advisor
$70.1M
derived; firm RAUM over IAPD count
Employees
20
19 advisory (5.B.1)
Offices
18
beyond the principal office
Private funds
0
reported on Schedule D
History
39 filings and snapshots on the tape
RAUM$1.1B as of Mar 14, 2026
Feb 11, 2020$765M then
HNW client RAUM$0 as of Mar 14, 2026
Feb 11, 2020$0 then
State-registered IARs (5.B.3)16 as of Mar 14, 2026
Feb 11, 20208 then
Employees (5.A)20 as of Mar 14, 2026
Feb 11, 202012 then
Private funds: no history
RAUM -56% over the last fiscal year-10% a year over threeIARs 15 to 16
Practice profile
derived from the filing of Mar 14, 2026; every figure names its basis
- RAUM per advisor
- $70.1MderivedRAUM 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
- $162,639derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 0.8derived19 offices incl. principal (1.F.5)
- RAUM growth, one year
- -56%derivedbetween the last two annual amendments
- Advisor growth, one year
- +6.7%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$967M92%
- Investment companies$85.4M8.1%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 6,469reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
14 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••• R•••••• T•••••Certified Financial Planner | L••••••Ville, Il | Jun 21, 2019 | 38 y | 2 |
| P•••• J••• O••• | Wilmington, Nc | Oct 22, 2019 | 34 y | 4 |
| K•••• M••••••• M•••• | Verona, Ky | Jun 22, 2020 | 25 y | 1 |
| N••••••• K••••••• N•Chartered Financial Analyst | L••••••Ville, Il | Oct 12, 2020 | 11 y | 1 |
| E•••••••• M•••• T•••••• | Florence, Ky | May 4, 2021 | 12 y | 0 |
| B•••••• W•••• C••••••• | L••••••Ville, Il | May 28, 2021 | 19 y | 0 |
| J•••• N•••• B••••• | Covington, Ky | Oct 10, 2022 | 12 y | 1 |
| S••••• A•••• G•••• | Omaha, Ne | Oct 11, 2022 | 11 y | 2 |
| J••• R••••• C•••••• | L••••••Ville, Il | Jun 7, 2024 | 15 y | 2 |
| L•••• A•••••••• S•••••• | Kansas City, Mo | Oct 16, 2024 | 10 y | 1 |
| E••• M••••• | L••••••Ville, Il | Jul 11, 2025 | 33 y | 1 |
| P•••••• M•••••• G•••• | L••••••Ville, Il | Oct 17, 2025 | 21 y | 2 |
| S••• T••••• B••••• | L••••••Ville, Il | Oct 29, 2025 | 25 y | 3 |
| B••••••• C•••••• M•••••• | L••••••Ville, Il | Nov 12, 2025 | 12 y | 4 |
Advisor movement
0 left, 3 joined in 12 months
net +3 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount2 left over 36 months
Left, latest
- G•••••• J••• S••••• to A••••••••• F•••••••• S•••••••• L••Feb 7, 2025 · Other
- M•••••• J••• S•••••• to P••••••Sep 28, 2023 · Other
Joined, latest
- B••••••• C•••••• M•••••• from O•••• P•••••••• S••••••••• L••Nov 12, 2025 · Other
- S••• T••••• B••••• from O•••• P•••••••• S••••••••• L••Oct 29, 2025 · Other
- P•••••• M•••••• G•••• from O•••• P•••••••• S••••••••• L••Oct 17, 2025 · Other
- E••• M••••• from A••••• A•• P••••••• S•••••••Jul 11, 2025 · Other
- L•••• A•••••••• S•••••• from E••••• J••••Oct 16, 2024 · Other
- J••• R••••• C•••••• from T• R••• P•••• A••••••• S•••••••• I•••Jun 7, 2024 · Other
- G•••••• J••• S••••• from C••••• A•••••• N••••••• L••Jan 17, 2023 · Other
- S••••• A•••• G•••• from O•••• P•••••••• S••••••••• L••Oct 11, 2022 · Other
- J•••• N•••• B••••• from O•••• P•••••••• S••••••••• L••Oct 10, 2022 · Other
- N••••••• K••••••• N• from M•••• C••••••• A••••••• S••••••Oct 12, 2020 · Other
- K•••• M••••••• M•••• from O•••• P•••••••• S••••••••• L••Jun 22, 2020 · Other
- M•••••• J••• S•••••• from M•••• C••••••• A••••••• S••••••Oct 23, 2019 · Other
- P•••• J••• O••• from M•••• C••••••• A••••••• S••••••Oct 22, 2019 · Other
- B••••••• W•••••• P••• from M•••• C••••••• A••••••• S••••••Jun 21, 2019 · Other
- R••• R•••••• T••••• from M•••• C••••••• A••••••• S••••••Jun 21, 2019 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••• B•••••••• W•••••• · President/Chief Compliance Officercontrolsince 05/2019 · owns less than 5%
- T•••••• R•••• R•••••• · Manager/Ceocontrolsince 10/2013 · owns less than 5%
- T•••••• R•••• R•••••• · Trusteecontrolsince 10/1994 · owns F of R••• R• T••••• D••••••••• O• T•••• D•••• 1•••••••••
Entity owners
- 8••• I••• · Memberdirect · owns 75% or more
- R••• R• T••••• D••••••••• O• T•••• D•••• 1••••••••• · Shareholderindirect · owns 75% or more of 8••• I•••
Related persons
Schedule D 7.A
- W•••••• O•• C••••••• L••pooled vehicle sponsorn
Advisers that list L•••••• O•• I••••••••• M••••••••• as a related person
- 328546 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| L••••••Ville, Il · principal | 15 | 3 | 0 | ||
| Florence, Ky | 2 | 1 | 0 | ||
| Redondo Beach, Ca | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Chicago, IL1 employees
- Colorado Springs, CO1 employees
- L••••••Ville, IL1 employees
- , 1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Mar 14, 2026discretionary share of RAUM moved from 50.0% to 100.0% between the annual amendments of 2025-04-24 and 2026-03-14peers: asset managers, $1B to $5B (1,506)
- RAUM down 50 %Change between filings · filing Mar 14, 2026RAUM (Item 5.F) moved from $2,378,579,630 to $1,052,112,840 (-56.0%) between the annual amendments of 2025-04-24 and 2026-03-14; the peer median change was +11.0% (1368 comparable advisers, 1.0th percentile of changes)peers: asset managers, $1B to $5B (1,368) · 0.8% percentile
What changed
consecutive filings, newest first
- Accounts · 17,279 to 6,469Jan 6, 2026 to Mar 14, 2026
- Employees · 19 to 20Jan 6, 2026 to Mar 14, 2026
- State-registered IARs · 15 to 16Jan 6, 2026 to Mar 14, 2026
- Discretionary RAUM · $1.2B to $1.1BJan 6, 2026 to Mar 14, 2026
- Non-discretionary RAUM · $1.2B to $0Jan 6, 2026 to Mar 14, 2026
- RAUM · $2.4B to $1.1BJan 6, 2026 to Mar 14, 2026
- Accounts · 17,276 to 17,279Apr 24, 2025 to Oct 15, 2025
- Advisory activities · 2 to 3Apr 24, 2025 to Oct 15, 2025
- Accounts · 14,692 to 17,276Aug 12, 2024 to Apr 24, 2025
- Advisory employees · 18 to 19Aug 12, 2024 to Apr 24, 2025
- Employees · 18 to 19Aug 12, 2024 to Apr 24, 2025
- Insurance-licensed employees · 2 to 3Aug 12, 2024 to Apr 24, 2025
- Financial planning clients · unset to Aug 12, 2024 to Apr 24, 2025
- State-registered IARs · 16 to 15Aug 12, 2024 to Apr 24, 2025
- Other offices · 19 to 18Aug 12, 2024 to Apr 24, 2025
- Discretionary RAUM · $1.1B to $1.2BAug 12, 2024 to Apr 24, 2025
- Non-discretionary RAUM · $887M to $1.2BAug 12, 2024 to Apr 24, 2025
- RAUM · $2.0B to $2.4BAug 12, 2024 to Apr 24, 2025
- Related adviser · false to trueAug 12, 2024 to Apr 24, 2025
- Other offices · 18 to 19Mar 27, 2024 to Jun 11, 2024
- Accounts · 10,814 to 14,692Sep 28, 2023 to Feb 21, 2024
- Advisory employees · 17 to 18Sep 28, 2023 to Feb 21, 2024
- Employees · 17 to 18Sep 28, 2023 to Feb 21, 2024
- State-registered IARs · 17 to 16Sep 28, 2023 to Feb 21, 2024
- Other offices · 16 to 18Sep 28, 2023 to Feb 21, 2024
- Discretionary RAUM · $1.0B to $1.1BSep 28, 2023 to Feb 21, 2024
- Non-discretionary RAUM · $415M to $887MSep 28, 2023 to Feb 21, 2024
- RAUM · $1.5B to $2.0BSep 28, 2023 to Feb 21, 2024
- Other offices · 17 to 16May 31, 2023 to Sep 28, 2023
- Accounts · 7,948 to 10,814Feb 28, 2023 to Mar 3, 2023
- Advisory employees · 4 to 17Feb 28, 2023 to Mar 3, 2023
- BD registered reps · 4 to 2Feb 28, 2023 to Mar 3, 2023
- Employees · 14 to 17Feb 28, 2023 to Mar 3, 2023
- Insurance-licensed employees · 4 to 2Feb 28, 2023 to Mar 3, 2023
- State-registered IARs · 13 to 17Feb 28, 2023 to Mar 3, 2023
- Other offices · 15 to 17Feb 28, 2023 to Mar 3, 2023
- Discretionary RAUM · $1.2B to $1.0BFeb 28, 2023 to Mar 3, 2023
- Non-discretionary RAUM · $0 to $415MFeb 28, 2023 to Mar 3, 2023
- RAUM · $1.2B to $1.5BFeb 28, 2023 to Mar 3, 2023
- Other offices · 11 to 15May 10, 2022 to Oct 7, 2022
Signals
6 dated events
- L•••••• O•• I••••••••• M••••••••• reported RAUM $1.1B, down 56% from $2.4B (2026-01-06 to 2026-03-14)Mar 14, 2026 · RAUM change · derived
- G•••••• J••• S••••• left L•••••• O•• I••••••••• M••••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2025-02-19)Feb 7, 2025 · a•••••• firm change · fact
- L•••••• O•• I••••••••• M••••••••• reported RAUM $2.0B, up 36% from $1.5B (2023-09-28 to 2024-02-21)Feb 21, 2024 · RAUM change · derived
- M•••••• J••• S•••••• left L•••••• O•• I••••••••• M••••••••• for Potomac (registered 2023-12-11)Sep 28, 2023 · a•••••• firm change · fact
- L•••••• O•• I••••••••• M••••••••• reported RAUM $1.2B, up 36% from $866.2M (2021-05-24 to 2022-02-01)Feb 1, 2022 · RAUM change · derived
- L•••••• O•• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)May 22, 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
- Firm profile
- linkedin.com/company/liberty-one-investment-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- libertyoneim.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 847-680-9255reportedpublic record, Form ADV, Mar 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $70.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026