DFX Intelligence
RIA Intelligence
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SEC-registered adviser
R••••• W••••• M•••••••••
Legal name R••••• B••••••• A•• C••••••
Latest filing Feb 19, 2026
First filing on the tape Mar 30, 2012 · 39 filings
SEC status approved since May 23, 1986
RAUM
$1.5B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$1.4B individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$140M
derived; firm RAUM over IAPD count
Employees
16
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
39 filings and snapshots on the tape
RAUM$1.5B as of Feb 19, 2026
May 9, 2012$853M then
HNW client RAUM$1.3B as of Feb 19, 2026
Mar 20, 2018$711M then
State-registered IARs (5.B.3)11 as of Feb 19, 2026
May 9, 20120 then
Employees (5.A)16 as of Feb 19, 2026
Jun 20, 201317 then
Private funds: no history
RAUM +11% over the last fiscal year+11% a year over threeIARs 11 to 11
Practice profile
derived from the filing of Feb 19, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $140MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 85derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $740,986derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 11.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $3.0BreportedItem 5.I
- 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
- is a broker-dealer (6.A.1)
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client securities (9.B.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.3B82%
- Individuals$185M12%
- Charitable organizations$50.7M3.3%
- Pension and profit-sharing plans$23.5M1.5%
- Corporations and businesses$19.1M1.2%
- Individual clients
- 456reported
- HNW clients
- 478reported
- Pension plan clients
- 13reported
- Charitable clients
- 16reported
- Accounts
- 2,078reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- $1.5B sponsored, $1.5B managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=12.0derived
Advisors registered through the firm
11 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••••• N••••• G•••••• | Naples, Fl | Jun 25, 1998 | 41 y | 0 |
| J••••• R••••••••• R•••••Certified Financial Planner | Evanston, Il | Jun 25, 1998 | 31 y | 0 |
| R•••••• C••••••••• R••••• | Bonita Springs, Fl | Jun 25, 1998 | 62 y | 0 |
| D•••••• L•••• C•••• | Evanston, Il | Mar 1, 2004 | 23 y | 0 |
| S•••• M• M•••••Certified Financial Planner | Evanston, Il | Oct 21, 2013 | 27 y | 1 |
| B•••• P•••••• L•••••Certified Financial Planner | Evanston, Il | Oct 29, 2013 | 23 y | 0 |
| P•••• H•••••• | Evanston, Il | Sep 24, 2014 | 14 y | 1 |
| E••• A••••• B••••••• | Evanston, Il | Jun 15, 2016 | 34 y | 1 |
| V•••••• R••••• L••••• | Evanston, Il | Jul 1, 2016 | 10 y | 0 |
| K••• R• M••••• | Evanston, Il | Dec 11, 2023 | 11 y | 6 |
| M•••• N•••••••• | Evanston, Il | Apr 29, 2024 | 13 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 headcount2 left over 36 months
Left, latest
- N••••• K••••• K••••• to E••••••••• C•••••• M•••••••••Oct 3, 2023 · RIA to RIA
- O•••• A•••• to E••••••••• C•••••• M•••••••••Oct 3, 2023 · RIA to RIA
- D•••• G•••• D•••••••• to L•• F•••••••• L••May 29, 2012 · Other
- J•• A•••• C••••• to J•• W••••• M••••••••• S•••••••• L••Dec 21, 2009 · Other
Joined, latest
- M•••• N•••••••• from M••••• S••••••Apr 29, 2024 · Wirehouse to independent RIA
- K••• R• M••••• from C•••••• S••••• • C••• I•••Dec 11, 2023 · Affiliated broker-dealer or bank to independent RIA
- O•••• A•••• from B••••• G••••• A•••• M•••••••••Jul 28, 2017 · Other
- E••• A••••• B••••••• from B••••••• A•••• M••••••••• L••Jun 15, 2016 · Other
- P•••• H•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Sep 24, 2014 · Other
- S•••• M• M••••• from C•••••• S••••• • C••• I•••Oct 21, 2013 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for E••••••••• C•••••• M•••••••••Oct 3, 2023 · Evanston, Il
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••••• J••••• R••••••••• · Presidentcontrolsince 09/2002 · owns 50% to 75%
- R•••••• R•••••• C••••••••• · Chairmancontrolsince 10/2002 · owns 25% to 50%
- B•••••••• E••• A••••• · Cfo/Ccosince 08/2016 · owns less than 5%
- G••••••• D•••••• N••••• · Vice Presidentsince 04/1990 · 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 |
|---|---|---|---|---|---|
| Evanston, Il · principal | 11 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Feb 19, 2026R•••••• R•••••• C••••••••• (CHAIRMAN) left Schedule A between the filings of 2016-10-17 and 2026-02-19peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Feb 19, 2026R•••••• J••••• R••••••••• (PRESIDENT) left Schedule A between the filings of 2016-10-17 and 2026-02-19peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 2,015 to 2,078Oct 28, 2025 to Feb 19, 2026
- Advisory employees · 8 to 9Oct 28, 2025 to Feb 19, 2026
- Corporate clients · 5 to 6Oct 28, 2025 to Feb 19, 2026
- HNW clients · 461 to 478Oct 28, 2025 to Feb 19, 2026
- Individual clients · 455 to 456Oct 28, 2025 to Feb 19, 2026
- Pension plan clients · 12 to 13Oct 28, 2025 to Feb 19, 2026
- Discretionary RAUM · $1.4B to $1.5BOct 28, 2025 to Feb 19, 2026
- HNW RAUM · $1.1B to $1.3BOct 28, 2025 to Feb 19, 2026
- Individual RAUM · $176M to $185MOct 28, 2025 to Feb 19, 2026
- Pension RAUM · $21.8M to $23.5MOct 28, 2025 to Feb 19, 2026
- RAUM · $1.4B to $1.5BOct 28, 2025 to Feb 19, 2026
- Wrap assets (manager) · $1.3B to $1.5BOct 28, 2025 to Feb 19, 2026
- Wrap assets (sponsor) · $1.3B to $1.5BOct 28, 2025 to Feb 19, 2026
- Accounts · 1,978 to 2,015Oct 25, 2024 to Jan 31, 2025
- Advisory employees · 7 to 8Oct 25, 2024 to Jan 31, 2025
- BD registered reps · 11 to 12Oct 25, 2024 to Jan 31, 2025
- Charity clients · 17 to 16Oct 25, 2024 to Jan 31, 2025
- Corporate clients · unset to 5.0Oct 25, 2024 to Jan 31, 2025
- HNW clients · 444 to 461Oct 25, 2024 to Jan 31, 2025
- Individual clients · 466 to 455Oct 25, 2024 to Jan 31, 2025
- Pension plan clients · 16 to 12Oct 25, 2024 to Jan 31, 2025
- Employees · 15 to 16Oct 25, 2024 to Jan 31, 2025
- Financial planning clients · 26-50 to 26-50Oct 25, 2024 to Jan 31, 2025
- State-registered IARs · 10 to 11Oct 25, 2024 to Jan 31, 2025
- Discretionary RAUM · $1.2B to $1.4BOct 25, 2024 to Jan 31, 2025
- HNW RAUM · $979M to $1.1BOct 25, 2024 to Jan 31, 2025
- Individual RAUM · $172M to $176MOct 25, 2024 to Jan 31, 2025
- Pension RAUM · $19.1M to $21.8MOct 25, 2024 to Jan 31, 2025
- RAUM · $1.2B to $1.4BOct 25, 2024 to Jan 31, 2025
- Wrap assets (manager) · $1.2B to $1.3BOct 25, 2024 to Jan 31, 2025
- Wrap assets (sponsor) · $1.2B to $1.3BOct 25, 2024 to Jan 31, 2025
- Accounts · 1,889 to 1,978Aug 24, 2023 to Jan 24, 2024
- Advisory employees · 10 to 7Aug 24, 2023 to Jan 24, 2024
- BD registered reps · 13 to 11Aug 24, 2023 to Jan 24, 2024
- Charity clients · 14 to 17Aug 24, 2023 to Jan 24, 2024
- Corporate clients · 11.0 to unsetAug 24, 2023 to Jan 24, 2024
- HNW clients · 432 to 444Aug 24, 2023 to Jan 24, 2024
- Individual clients · 427 to 466Aug 24, 2023 to Jan 24, 2024
- State-registered IARs · 12 to 10Aug 24, 2023 to Jan 24, 2024
- Discretionary RAUM · $1.1B to $1.2BAug 24, 2023 to Jan 24, 2024
Signals
4 dated events
- N••••• K••••• K••••• left R••••• W••••• M••••••••• for E••••••••• C•••••• M••••••••• (registered 2023-10-02)Oct 3, 2023 · Advisor changed firm · fact
- O•••• A•••• left R••••• W••••• M••••••••• for E••••••••• C•••••• M••••••••• (registered 2023-10-02)Oct 3, 2023 · Advisor changed firm · fact
- 2 advisors left R••••• W••••• M••••••••• (Evanston, IL) for E••••••••• C•••••• M••••••••• on the same dayOct 3, 2023 · Team lift-out · derived
- R••••• W••••• M••••••••• reported 13 state-registered advisory representatives, up from 1 (2017-03-16 to 2018-03-20)Mar 20, 2018 · Advisor headcount change · derived
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 email
- i•••@r•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 847-866-7054reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 847-866-7700reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/4811208reportedpublic record, Form ADV, Sep 21, 2026
- Website
- R•••••WEALTH.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 847-866-7700reportedpublic record, Form ADV, Feb 19, 2026
- Contact form
- r•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $140Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026