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P•• F••••••••• L••

Independent wealth managerSEC-registeredwebsite

Independent wealth manager, reporting $137M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

Regulatory AUM
$137M
Form ADV
Advisors
1
IAPD
Net advisor flow, 12 months
0
0 joined, 0 left
IAPD registration history
Private clients
81%
of RAUM, $111M
Form ADV
See where advisers wentSee teams that moved
More
Advisors (1)Where the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 312523 · SEC 801-136637 · 1 filingShow
CRD 312523SEC 801-136637Legal name P•• F•••••••• L••First filing on the tape Jul 10, 2026, latest Jul 10, 2026SEC status approved since Jul 2, 2026IAPD
RAUM
$137M
reported, Item 5.F
Discretionary
83%
of RAUM
Private clients
81%
$111M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$137M
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
1 filing and snapshots on the tape

Filed figures over time · the tape starts Jul 10, 2026

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM: $137M
HNW client RAUM: $102M
State-registered IARs (5.B.3): 1
Employees (5.A): 1
Private funds: no history
Practice profile
derived from the filing of Jul 10, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure1 ruleShow
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)
RAUM per advisor
$137MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
49derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.0MderivedHNW RAUM over HNW clients
Average account
$401,330derivedRAUM over accounts (5.F.2.f)
Discretionary
83%derivedof RAUM
Institutional
19%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 office 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, hourly, 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing

75% high-net-worth individuals, 17% charitable organizations, and 3 other client types

The breakdown by client type, and the client counts5 client typesShow
  • High-net-worth individuals$102M75%
  • Charitable organizations$22.6M17%
  • Individuals$8.6M6.3%
  • Pension and profit-sharing plans$3.3M2.4%
  • Corporations and businesses$150,3140.1%
Individual clients
15reported
HNW clients
34reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
341reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
RAUM: 81% private clients, 0% pooled funds, 19% institutions; no related broker-dealer; no related bankderived
Advisor movement
0 left over 36 months
0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      1 on IAPD today; the longest tenured first
      NameBranchHere sinceIn industryPrior firms
      N••••• N•••••••••Certified Financial PlannerOak Brook, IlFeb 9, 202123 y0
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • N••••••••• N••••• · Managing Member And Ccocontrol
        since 07/2018 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      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 phone
      ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
      Website
      ••• Lockedreportedpublic record, Form ADV, Jul 10, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Jul 10, 2026
      Provenance
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      $137Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026

      Not yet on record: RAUM change, 1 year.