DFX Intelligence
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I••••••••• C••••••••• L••
Institutional managerSEC-registered
Institutional manager, reporting $123M of regulatory assets across 1 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $123M
- Advisors
- 1
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- -22%
- Private clients
- 9.6% of RAUM, $11.8M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $157MRAUM now $123M
- discretionary share of RAUM 0Peer median 1
- Contact points 1
Every filed figure, and the identifiersCRD 314810 · SEC 801-121405 · 6 filingsShowHide
CRD 314810SEC 801-121405First filing on the tape May 5, 2021, latest Mar 23, 2026SEC status approved since Jun 4, 2021IAPD
RAUM
$123M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
9.6%
$11.8M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$123M
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$123M as of Mar 23, 2026
Feb 11, 2022$180M then
HNW client RAUM$11.5M as of Mar 23, 2026
Feb 11, 2022$16.5M then
State-registered IARs (5.B.3)1 as of Mar 23, 2026
Feb 11, 20221 then
Employees (5.A)1 as of Mar 23, 2026
Feb 11, 20221 then
Private funds: no history
RAUM -22% over the last fiscal year-7.1% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 23, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $123MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 8derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $6.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 77%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$94.9M89%
- High-net-worth individuals$11.5M11%
- Individuals$234,6350.2%
- Individual clients
- 1reported
- HNW clients
- 7reported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 19reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.1 fund_share=0.0 institutional_share=0.77 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• D••••• G••• | Evanston, Il | Jun 21, 2021 | 34 y | 1 |
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••• W••••••• D••••• · Managing Director, Chief Compliance Officer & Ownercontrolsince 03/2021 · 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.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 23, 2026discretionary share of RAUM of 0% against a peer median of 100% (108 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: institutional managers, $100M to $500M (108) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 20 to 19Feb 18, 2025 to Mar 23, 2026
- Pension plan clients · 2 to 1Feb 18, 2025 to Mar 23, 2026
- HNW RAUM · $11.3M to $11.5MFeb 18, 2025 to Mar 23, 2026
- Individual RAUM · $179,991 to $234,635Feb 18, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $157M to $123MFeb 18, 2025 to Mar 23, 2026
- Pension RAUM · $126M to $94.9MFeb 18, 2025 to Mar 23, 2026
- RAUM · $157M to $123MFeb 18, 2025 to Mar 23, 2026
- Accounts · 19 to 20Feb 26, 2024 to Feb 18, 2025
- Financial planning clients · 1-10 to 1-10Feb 26, 2024 to Feb 18, 2025
- HQ city · unset to Feb 26, 2024 to Feb 18, 2025
- HQ state · unset to Feb 26, 2024 to Feb 18, 2025
- HNW RAUM · $9.6M to $11.3MFeb 26, 2024 to Feb 18, 2025
- Individual RAUM · $166,937 to $179,991Feb 26, 2024 to Feb 18, 2025
- Non-discretionary RAUM · $144M to $157MFeb 26, 2024 to Feb 18, 2025
- Pension RAUM · $122M to $126MFeb 26, 2024 to Feb 18, 2025
- RAUM · $144M to $157MFeb 26, 2024 to Feb 18, 2025
- Accounts · 36 to 19Mar 17, 2023 to Feb 26, 2024
- HNW clients · 11 to 7Mar 17, 2023 to Feb 26, 2024
- Individual clients · 3 to 1Mar 17, 2023 to Feb 26, 2024
- Pension plan clients · 4 to 2Mar 17, 2023 to Feb 26, 2024
- Financial planning clients · 11-25 to 1-10Mar 17, 2023 to Feb 26, 2024
- HNW RAUM · $14.4M to $9.6MMar 17, 2023 to Feb 26, 2024
- Individual RAUM · $381,970 to $166,937Mar 17, 2023 to Feb 26, 2024
- Non-discretionary RAUM · $153M to $144MMar 17, 2023 to Feb 26, 2024
- Pension RAUM · $128M to $122MMar 17, 2023 to Feb 26, 2024
- RAUM · $153M to $144MMar 17, 2023 to Feb 26, 2024
- Accounts · 34 to 36Feb 11, 2022 to Mar 17, 2023
- HNW clients · 10 to 11Feb 11, 2022 to Mar 17, 2023
- HNW RAUM · $16.5M to $14.4MFeb 11, 2022 to Mar 17, 2023
- Individual RAUM · $309,666 to $381,970Feb 11, 2022 to Mar 17, 2023
- Non-discretionary RAUM · $180M to $153MFeb 11, 2022 to Mar 17, 2023
- Pension RAUM · $154M to $128MFeb 11, 2022 to Mar 17, 2023
- RAUM · $180M to $153MFeb 11, 2022 to Mar 17, 2023
- Accounts · 38 to 34May 5, 2021 to Feb 11, 2022
- HNW clients · 11 to 10May 5, 2021 to Feb 11, 2022
- Individual clients · 4 to 3May 5, 2021 to Feb 11, 2022
- Pension plan clients · 6 to 4May 5, 2021 to Feb 11, 2022
- HNW RAUM · $20.7M to $16.5MMay 5, 2021 to Feb 11, 2022
- Individual RAUM · $448,580 to $309,666May 5, 2021 to Feb 11, 2022
- Non-discretionary RAUM · $236M to $180MMay 5, 2021 to Feb 11, 2022
Signals
2 dated events
- ••• LockedMay 5, 2021 · Succession (Item 4) · fact
- ••• LockedMay 5, 2021 · 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
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 23, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $123Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026