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

I••••••••• A••••••• G••••• L••

Former SEC-registered adviserJacksonville, IllinoisCRD 315769SEC 801-122396IAPD
Latest filing Jan 13, 2022
First filing on the tape Aug 27, 2021 · 8 filings
RAUM
$36.6M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
99%
$36.2M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$18.3M
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
8 filings and snapshots on the tape
RAUM$36.6M as of Jan 13, 2022
Aug 27, 2021$0 then
HNW client RAUM$0 as of Jan 13, 2022
Aug 27, 2021$0 then
State-registered IARs (5.B.3)1 as of Jan 13, 2022
Aug 27, 20211 then
Employees (5.A)1 as of Jan 13, 2022
Aug 27, 20211 then
Private funds: no history
Practice profile
derived from the filing of Jan 13, 2022; every figure names its basis
RAUM per advisor
$18.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
48derivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$207,784derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.8%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, 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$36.2M99%
  • Pension and profit-sharing plans$281,8000.8%
  • Corporations and businesses$101,1740.3%
Individual clients
96reported
HNW clients
0reported
Pension plan clients
1reported
Charitable clients
0reported
Accounts
176reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
C•••• S••••• A•••••Certified Financial PlannerJacksonville, IlSep 27, 202133 y4
N••••• C• M••••••Jacksonville, IlJun 4, 202611 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
    Joined, latest
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • A•••••• C••••• S••••• · Owner & Chief Compliance Officercontrol
      since 08/2021 · 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
    Jacksonville, Il · principal210
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Succession · false to true
      Jan 3, 2022 to Jan 13, 2022
    • Accounts · 0 to 176
      Sep 27, 2021 to Nov 8, 2021
    • Corporate clients · 0 to 1
      Sep 27, 2021 to Nov 8, 2021
    • Individual clients · 0 to 96
      Sep 27, 2021 to Nov 8, 2021
    • Pension plan clients · 0 to 1
      Sep 27, 2021 to Nov 8, 2021
    • Individual RAUM · $0 to $36.2M
      Sep 27, 2021 to Nov 8, 2021
    • Non-discretionary RAUM · $0 to $36.6M
      Sep 27, 2021 to Nov 8, 2021
    • Pension RAUM · $0 to $281,800
      Sep 27, 2021 to Nov 8, 2021
    • RAUM · $0 to $36.6M
      Sep 27, 2021 to Nov 8, 2021
    • Financial planning clients · unset to 0
      Aug 27, 2021 to Aug 27, 2021
    Signals
    2 dated events
    • I••••••••• A••••••• G••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Jan 13, 2022 · Succession (Item 4) · fact
    • I••••••••• A••••••• G••••• L•• filed its initial SEC registration (Form ADV)
      Aug 27, 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
    Website
    investmentadvisorsgroup.comreportedpublic record, Form ADV, Sep 19, 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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $18.3Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026