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
T••••••• C•••••• A•••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Dec 14, 2021 · 17 filings
SEC status approved since Jan 14, 2022
RAUM
$927M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$924M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$309M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$927M as of Mar 26, 2026
Jan 25, 2023$407M then
HNW client RAUM$904M as of Mar 26, 2026
Jan 25, 2023$403M then
State-registered IARs (5.B.3)3 as of Mar 26, 2026
Jan 25, 20233 then
Employees (5.A)3 as of Mar 26, 2026
Jan 25, 20233 then
Private funds: no history
RAUM +30% over the last fiscal year+32% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $309MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 50derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.9MderivedHNW RAUM over HNW clients
- Average account
- $1.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +30%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +14%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $428M, 211 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$904M97%
- Individuals$20.4M2.2%
- Corporations and businesses$1.7M0.2%
- Charitable organizations$1.3M0.1%
- Individual clients
- 37reported
- HNW clients
- 114reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 504reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $428M for 211 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 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 |
|---|---|---|---|---|
| S•••• G• O••••• | Northbrook, Il | Jan 19, 2022 | 10 y | 0 |
| J•••••• B•••• B••••• | Northbrook, Il | Jan 19, 2022 | 15 y | 0 |
| P••• A• T••••Certified Financial Planner | Northbrook, Il | Jun 7, 2022 | 24 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
- P••• A• T•••• from S••• F•••••••• A•••••••Jun 7, 2022 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• J••••••• B•••• · Managing Membercontrolsince 09/2021 · owns 25% to 50%
- O•••••• S••••• G• · Managing Member, Ccocontrolsince 09/2021 · owns 25% to 50%
- T••••• P•••• A• · Managing Membercontrolsince 09/2021 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Northbrook, Il · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- very high RAUM per advisorStatic outlier · filing Mar 26, 2026RAUM per registered advisor of $309,138,798 against a peer median of $106,309,121 (1261 comparable advisers, 99.0th percentile, 3.5 robust deviations)peers: independent wealth managers, $500M to $1B (1,261) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 424 to 504Jul 14, 2025 to Mar 26, 2026
- Advisory activities · 4 to 3Jul 14, 2025 to Mar 26, 2026
- Corporate clients · 2 to 6Jul 14, 2025 to Mar 26, 2026
- HNW clients · 103 to 114Jul 14, 2025 to Mar 26, 2026
- Individual clients · 30 to 37Jul 14, 2025 to Mar 26, 2026
- Assets in custody · $357M to $428MJul 14, 2025 to Mar 26, 2026
- Discretionary RAUM · $712M to $927MJul 14, 2025 to Mar 26, 2026
- HNW RAUM · $698M to $904MJul 14, 2025 to Mar 26, 2026
- Individual RAUM · $11.5M to $20.4MJul 14, 2025 to Mar 26, 2026
- RAUM · $712M to $927MJul 14, 2025 to Mar 26, 2026
- Financial planning clients · 0 to 0Apr 23, 2025 to Jul 14, 2025
- Accounts · 341 to 424Jun 27, 2024 to Apr 23, 2025
- Advisory employees · 1 to 3Jun 27, 2024 to Apr 23, 2025
- Advisory activities · 3 to 4Jun 27, 2024 to Apr 23, 2025
- Corporate clients · 1 to 2Jun 27, 2024 to Apr 23, 2025
- HNW clients · 90 to 103Jun 27, 2024 to Apr 23, 2025
- Individual clients · 15 to 30Jun 27, 2024 to Apr 23, 2025
- Assets in custody · $358M to $357MJun 27, 2024 to Apr 23, 2025
- Discretionary RAUM · $568M to $712MJun 27, 2024 to Apr 23, 2025
- HNW RAUM · $560M to $698MJun 27, 2024 to Apr 23, 2025
- Individual RAUM · $6.1M to $11.5MJun 27, 2024 to Apr 23, 2025
- RAUM · $568M to $712MJun 27, 2024 to Apr 23, 2025
- Accounts · 273 to 341Sep 7, 2023 to Feb 6, 2024
- Advisory employees · 3 to 1Sep 7, 2023 to Feb 6, 2024
- Corporate clients · unset to 1.0Sep 7, 2023 to Feb 6, 2024
- HNW clients · 76 to 90Sep 7, 2023 to Feb 6, 2024
- Individual clients · 12 to 15Sep 7, 2023 to Feb 6, 2024
- Assets in custody · unset to 357817631.0Sep 7, 2023 to Feb 6, 2024
- Custody of client assets · false to trueSep 7, 2023 to Feb 6, 2024
- Financial planning clients · 26-50 to 0Sep 7, 2023 to Feb 6, 2024
- Discretionary RAUM · $407M to $568MSep 7, 2023 to Feb 6, 2024
- HNW RAUM · $403M to $560MSep 7, 2023 to Feb 6, 2024
- Individual RAUM · $4.0M to $6.1MSep 7, 2023 to Feb 6, 2024
- RAUM · $407M to $568MSep 7, 2023 to Feb 6, 2024
- Accounts · 125 to 273Aug 19, 2022 to Jan 25, 2023
- Charity clients · unset to 2.0Aug 19, 2022 to Jan 25, 2023
- HNW clients · 43 to 76Aug 19, 2022 to Jan 25, 2023
- Individual clients · 1 to 12Aug 19, 2022 to Jan 25, 2023
- Employees · 4 to 3Aug 19, 2022 to Jan 25, 2023
- Financial planning clients · 0 to 26-50Aug 19, 2022 to Jan 25, 2023
Signals
5 dated events
- T••••••• C•••••• A•••••••• L•• reported RAUM $927.4M, up 30% from $712.2M (2025-07-14 to 2026-03-26)Mar 26, 2026 · RAUM change · derived
- T••••••• C•••••• A•••••••• L•• reported RAUM $712.2M, up 25% from $567.6M (2024-06-27 to 2025-04-23)Apr 23, 2025 · RAUM change · derived
- T••••••• C•••••• A•••••••• L•• reported RAUM $567.6M, up 39% from $407.3M (2023-09-07 to 2024-02-06)Feb 6, 2024 · RAUM change · derived
- T••••••• C•••••• A•••••••• L•• reported RAUM $407.3M, up 37% from $297.3M (2022-08-19 to 2023-01-25)Jan 25, 2023 · RAUM change · derived
- T••••••• C•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Dec 14, 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
- Business phone
- 847-495-2464reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/trifectacapitaladvisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- trifectacapitaladvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 1-847-495-2464reportedpublic record, Form ADV, Mar 26, 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
- $309Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026