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
I•••••••• P•••••••
Legal name I•••••••• P••••••• L•••••
Latest filing Apr 30, 2026
First filing on the tape Nov 3, 2023 · 6 filings
SEC status approved since Dec 4, 2023
RAUM
$971M
reported, Item 5.F
Discretionary
2.1%
of RAUM
Private clients
98%
$951M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$971M as of Apr 30, 2026
Mar 28, 2024$334M then
HNW client RAUM$951M as of Apr 30, 2026
Mar 28, 2024$322M then
State-registered IARs (5.B.3)0 as of Apr 30, 2026
Mar 28, 20240 then
Employees (5.A)3 as of Apr 30, 2026
Mar 28, 20242 then
Private funds2 as of Apr 30, 2026
Mar 28, 20241 then
RAUM +4.7% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 30, 2026; every figure names its basis
Archetypes, each a printed rule
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $3.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 2.1%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.7%derivedbetween 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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $20.5M, 2 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)
- 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$951M98%
- Pooled investment vehicles$20.5M2.1%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 301reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $20.5M for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.98 fund_share=0.02 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| I•••••••• P••••••• O••••••••• F••• L•• | Private Equity Fund | $11.7M | 18 | Nov 3, 2023 |
| I•••••••• P••••••• O••••••••• F••• I• L•• | $8.8M | 14 | Apr 30, 2026 |
Owners and control persons
Schedule A and B, latest filing
- M••••••• J•••• E•••••• · Chief Investment Officer / Managing Member / Chief Compliance Officercontrolsince 10/2021 · owns 75% or more
Entity owners
- K•• I• I••••••• L•• · Memberdirect · owns 10% to 25%
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 · 300 to 301Mar 25, 2026 to Apr 30, 2026
- Pooled vehicle clients · 1 to 2Mar 25, 2026 to Apr 30, 2026
- Assets in custody · $11.7M to $20.5MMar 25, 2026 to Apr 30, 2026
- Private funds · 1 to 2Mar 25, 2026 to Apr 30, 2026
- Discretionary RAUM · $11.7M to $20.5MMar 25, 2026 to Apr 30, 2026
- Pooled vehicle RAUM · $11.7M to $20.5MMar 25, 2026 to Apr 30, 2026
- RAUM · $963M to $971MMar 25, 2026 to Apr 30, 2026
- Accounts · 308 to 300Mar 27, 2025 to Mar 25, 2026
- HNW clients · 2.0 to unsetMar 27, 2025 to Mar 25, 2026
- Assets in custody · $93.3M to $11.7MMar 27, 2025 to Mar 25, 2026
- Discretionary RAUM · $11.5M to $11.7MMar 27, 2025 to Mar 25, 2026
- HNW RAUM · $917M to $951MMar 27, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $917M to $951MMar 27, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $11.5M to $11.7MMar 27, 2025 to Mar 25, 2026
- RAUM · $928M to $963MMar 27, 2025 to Mar 25, 2026
- Financial planning clients · unset to Jan 10, 2025 to Mar 27, 2025
- Accounts · 103 to 308Jan 10, 2025 to Mar 27, 2025
- HNW clients · unset to 2.0Jan 10, 2025 to Mar 27, 2025
- Assets in custody · $81.8M to $93.3MJan 10, 2025 to Mar 27, 2025
- Employees · 2 to 3Jan 10, 2025 to Mar 27, 2025
- HQ city · to CHICAGOJan 10, 2025 to Mar 27, 2025
- HQ state · to ILJan 10, 2025 to Mar 27, 2025
- Discretionary RAUM · $11.9M to $11.5MJan 10, 2025 to Mar 27, 2025
- HNW RAUM · $322M to $917MJan 10, 2025 to Mar 27, 2025
- Non-discretionary RAUM · $322M to $917MJan 10, 2025 to Mar 27, 2025
- Pooled vehicle RAUM · $11.9M to $11.5MJan 10, 2025 to Mar 27, 2025
- RAUM · $334M to $928MJan 10, 2025 to Mar 27, 2025
- Assets in custody · $6.3M to $81.8MMar 28, 2024 to Jan 10, 2025
- HQ city · unset to Mar 28, 2024 to Jan 10, 2025
- HQ state · unset to Mar 28, 2024 to Jan 10, 2025
- Accounts · 1 to 103Nov 3, 2023 to Mar 28, 2024
- Advisory employees · 1 to 2Nov 3, 2023 to Mar 28, 2024
- Employees · 1 to 2Nov 3, 2023 to Mar 28, 2024
- HNW RAUM · unset to 322127240.0Nov 3, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $0 to $322MNov 3, 2023 to Mar 28, 2024
- RAUM · $11.9M to $334MNov 3, 2023 to Mar 28, 2024
Signals
2 dated events
- I•••••••• P••••••• reported RAUM $928.1M, up 178% from $334.0M (2025-01-10 to 2025-03-27)Mar 27, 2025 · RAUM change · derived
- I•••••••• P••••••• filed its initial SEC registration (Form ADV)Nov 3, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- I•••••••• P••••••• · Independent Sponsorsshared crd · capital_provider
- I•••••••• P••••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- i•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312.961.5048reportedpublic record, Form ADV, Apr 30, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026