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
I••••••• I••••••••• M••••••••• L••
Latest filing Feb 18, 2026
First filing on the tape Nov 25, 2020 · 18 filings
SEC status approved since Jan 8, 2021
RAUM
$215M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$191M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$71.7M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$215M as of Feb 18, 2026
Jan 31, 2022$171M then
HNW client RAUM$148M as of Feb 18, 2026
Jan 31, 2022$97.2M then
State-registered IARs (5.B.3)3 as of Feb 18, 2026
Jan 31, 20223 then
Employees (5.A)5 as of Feb 18, 2026
Jan 31, 20225 then
Private funds: no history
RAUM +2.1% over the last fiscal year+9.3% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 18, 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
- RAUM per advisor
- $71.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 30derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.1MderivedHNW RAUM over HNW clients
- Average account
- $683,076derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 0.8derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.3%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $324M, 62 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$148M69%
- Individuals$42.3M20%
- Banks and thrifts$22.9M11%
- Corporations and businesses$1.2M0.6%
- Other investment advisers$398,8220.2%
- Individual clients
- 61reported
- HNW clients
- 29reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 315reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $324M for 62 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.89 fund_share=0.0 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 |
|---|---|---|---|---|
| I••• J••••••••• | West Palm Beach, Fl | Feb 9, 2021 | 22 y | 5 |
| M••• E••••• M••••••• | Poulsbo, Wa | Feb 9, 2021 | 32 y | 4 |
| S•••• Z•••• | Irvine, Ca | Mar 25, 2021 | 12 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
- I••• J••••••••• from C• P••••••• C•••Feb 9, 2021 · RIA to a newly registered adviser
- M••• E••••• M••••••• from C• P••••••• C•••Feb 9, 2021 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J••••••••• I••• · Membercontrolsince 11/2020 · owns 25% to 50%
- M•••••••• M•••• E••••• · Membercontrolsince 11/2020 · owns 50% to 75%
- H•••••••• A•••••• K• · Ccosince 11/2020 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Poulsbo, Wa · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- West Palm Beach, FL1 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Feb 18, 2026financial planning (Item 5.G.1): yes on the filing of 2025-02-28, no on the filing of 2026-02-18peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 302 to 315Feb 28, 2025 to Feb 18, 2026
- Advisory activities · 3 to 2Feb 28, 2025 to Feb 18, 2026
- HNW clients · 28 to 29Feb 28, 2025 to Feb 18, 2026
- Individual clients · 60 to 61Feb 28, 2025 to Feb 18, 2026
- Discretionary RAUM · $211M to $215MFeb 28, 2025 to Feb 18, 2026
- HNW RAUM · $137M to $148MFeb 28, 2025 to Feb 18, 2026
- Individual RAUM · $45.0M to $42.3MFeb 28, 2025 to Feb 18, 2026
- RAUM · $211M to $215MFeb 28, 2025 to Feb 18, 2026
- Accounts · 289 to 302Oct 16, 2024 to Feb 28, 2025
- Advisory employees · 4 to 5Oct 16, 2024 to Feb 28, 2025
- HNW clients · 24 to 28Oct 16, 2024 to Feb 28, 2025
- Individual clients · 58 to 60Oct 16, 2024 to Feb 28, 2025
- Assets in custody · $27.2M to $324MOct 16, 2024 to Feb 28, 2025
- Financial planning clients · 0 to 0Oct 16, 2024 to Feb 28, 2025
- HQ city · unset to POULSBOOct 16, 2024 to Feb 28, 2025
- HQ state · unset to WAOct 16, 2024 to Feb 28, 2025
- State-registered IARs · 4 to 3Oct 16, 2024 to Feb 28, 2025
- Other offices · 4 to 3Oct 16, 2024 to Feb 28, 2025
- Discretionary RAUM · $189M to $211MOct 16, 2024 to Feb 28, 2025
- HNW RAUM · $118M to $137MOct 16, 2024 to Feb 28, 2025
- Individual RAUM · $35.1M to $45.0MOct 16, 2024 to Feb 28, 2025
- RAUM · $189M to $211MOct 16, 2024 to Feb 28, 2025
- Other offices · 3 to 4Jan 31, 2024 to Feb 28, 2024
- Accounts · 271 to 289Nov 6, 2023 to Jan 31, 2024
- Advisory employees · 3 to 4Nov 6, 2023 to Jan 31, 2024
- Individual clients · 59 to 58Nov 6, 2023 to Jan 31, 2024
- State-registered IARs · 3 to 4Nov 6, 2023 to Jan 31, 2024
- Other offices · 1 to 3Nov 6, 2023 to Jan 31, 2024
- Discretionary RAUM · $165M to $189MNov 6, 2023 to Jan 31, 2024
- HNW RAUM · $92.8M to $118MNov 6, 2023 to Jan 31, 2024
- Individual RAUM · $28.0M to $35.1MNov 6, 2023 to Jan 31, 2024
- RAUM · $165M to $189MNov 6, 2023 to Jan 31, 2024
- Accounts · 256 to 271Nov 30, 2022 to Feb 1, 2023
- Individual clients · 57 to 59Nov 30, 2022 to Feb 1, 2023
- Discretionary RAUM · $171M to $165MNov 30, 2022 to Feb 1, 2023
- HNW RAUM · $97.2M to $92.8MNov 30, 2022 to Feb 1, 2023
- Individual RAUM · $32.9M to $28.0MNov 30, 2022 to Feb 1, 2023
- RAUM · $171M to $165MNov 30, 2022 to Feb 1, 2023
- Other offices · 0 to 1Jan 31, 2022 to Jul 15, 2022
- Accounts · 230 to 256Apr 27, 2021 to Jan 31, 2022
Signals
1 dated events
- I••••••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Nov 25, 2020 · 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/illumine-investment-management-llcreportedpublic record, Form ADV, Sep 19, 2026
- Website
- illumineinvest.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 424-322-7500reportedpublic record, Form ADV, Feb 18, 2026
- Team page
- illumineinvest.com/home-page/our-teamreportedpublished 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
- $71.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026