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
N•••• S••• W••••• M•••••••••
Legal name C••••• L••
Latest filing Jan 23, 2026
First filing on the tape Apr 20, 2023 · 11 filings
SEC status approved since May 23, 2023
RAUM
$169M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$157M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$169M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$169M as of Jan 23, 2026
Jan 17, 2024$138M then
HNW client RAUM$146M as of Jan 23, 2026
Jan 17, 2024$105M then
State-registered IARs (5.B.3)1 as of Jan 23, 2026
Jan 17, 20241 then
Employees (5.A)1 as of Jan 23, 2026
Jan 17, 20241 then
Private funds: no history
RAUM +11% over the last fiscal yearIARs 1 to 1offices 0 to 1
Practice profile
derived from the filing of Jan 23, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $169MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 75derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $741,745derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 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
- -13%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- 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
- High-net-worth individuals$146M86%
- Corporations and businesses$11.9M7.1%
- Individuals$11.4M6.7%
- Individual clients
- 35reported
- HNW clients
- 40reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 228reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| P•••• H•••••• | Northbrook, Il | Jun 20, 2023 | 32 y | 4 |
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•••• H•••••• from S•••••••• P•••••••• M•••••••Jun 20, 2023 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••• P•••• · Managing Member & Ccocontrolsince 04/2017 · 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
- Accounts · 225 to 228Nov 19, 2025 to Jan 23, 2026
- HNW clients · 41 to 40Nov 19, 2025 to Jan 23, 2026
- Individual clients · 45 to 35Nov 19, 2025 to Jan 23, 2026
- Discretionary RAUM · $138M to $169MNov 19, 2025 to Jan 23, 2026
- HNW RAUM · $130M to $146MNov 19, 2025 to Jan 23, 2026
- Individual RAUM · $11.3M to $11.4MNov 19, 2025 to Jan 23, 2026
- Non-discretionary RAUM · $14.6M to $0Nov 19, 2025 to Jan 23, 2026
- RAUM · $153M to $169MNov 19, 2025 to Jan 23, 2026
- Other offices · 0 to 1Jan 29, 2025 to Nov 19, 2025
- Accounts · 213 to 225Jan 17, 2024 to Jan 29, 2025
- HNW clients · 30 to 41Jan 17, 2024 to Jan 29, 2025
- Individual clients · 46 to 45Jan 17, 2024 to Jan 29, 2025
- Financial planning clients · 0 to 1-10Jan 17, 2024 to Jan 29, 2025
- HQ city · unset to Jan 17, 2024 to Jan 29, 2025
- HQ state · unset to Jan 17, 2024 to Jan 29, 2025
- Discretionary RAUM · $120M to $138MJan 17, 2024 to Jan 29, 2025
- HNW RAUM · $105M to $130MJan 17, 2024 to Jan 29, 2025
- Individual RAUM · $22.0M to $11.3MJan 17, 2024 to Jan 29, 2025
- Non-discretionary RAUM · $17.8M to $14.6MJan 17, 2024 to Jan 29, 2025
- RAUM · $138M to $153MJan 17, 2024 to Jan 29, 2025
- Accounts · 223 to 213Jan 8, 2024 to Jan 17, 2024
- Individual clients · 33 to 46Jan 8, 2024 to Jan 17, 2024
- Discretionary RAUM · $109M to $120MJan 8, 2024 to Jan 17, 2024
- HNW RAUM · $91.0M to $105MJan 8, 2024 to Jan 17, 2024
- Individual RAUM · $27.0M to $22.0MJan 8, 2024 to Jan 17, 2024
- Non-discretionary RAUM · $17.0M to $17.8MJan 8, 2024 to Jan 17, 2024
- RAUM · $126M to $138MJan 8, 2024 to Jan 17, 2024
- Advisory activities · 1 to 2Sep 1, 2023 to Jan 8, 2024
- Financial planning clients · unset to 0Sep 1, 2023 to Jan 8, 2024
- Accounts · 0 to 223Jul 17, 2023 to Aug 3, 2023
- Charity clients · unset to 0.0Jul 17, 2023 to Aug 3, 2023
- Corporate clients · unset to 1.0Jul 17, 2023 to Aug 3, 2023
- HNW clients · unset to 30.0Jul 17, 2023 to Aug 3, 2023
- Individual clients · unset to 33.0Jul 17, 2023 to Aug 3, 2023
- Pension plan clients · unset to 0.0Jul 17, 2023 to Aug 3, 2023
- Pooled vehicle clients · unset to 0.0Jul 17, 2023 to Aug 3, 2023
- Discretionary RAUM · $0 to $109MJul 17, 2023 to Aug 3, 2023
- HNW RAUM · unset to 91000000.0Jul 17, 2023 to Aug 3, 2023
- Individual RAUM · unset to 27000000.0Jul 17, 2023 to Aug 3, 2023
- Non-discretionary RAUM · $0 to $17.0MJul 17, 2023 to Aug 3, 2023
Signals
1 dated events
- N•••• S••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Apr 20, 2023 · 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
- (224) 342-2525reportedpublic record, Form ADV, Jan 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $169Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026