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
A••••• F•••••••• G••••• I•••
Latest filing Mar 18, 2026
First filing on the tape Jan 3, 2012 · 26 filings
SEC status approved since Dec 30, 1994
RAUM
$302M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
4.6%
$14.0M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$151M
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$302M as of Mar 18, 2026
Jun 27, 2012$283M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 18, 2026
Jun 27, 20120 then
Employees (5.A)6 as of Mar 18, 2026
Jun 3, 20136 then
Private funds: no history
RAUM +11% over the last fiscal year+5.6% a year over threeIARs 5 to 2
Practice profile
derived from the filing of Mar 18, 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)
- RAUM per advisor
- $151MderivedRAUM 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
- $959,789derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- -60%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $145M, 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
- 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)
- 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
- Corporations and businesses$288M95%
- Individuals$14.0M4.6%
- Individual clients
- 8reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 315reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $145M for 2 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.05 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=5.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• I•• K•••• | Chicago, Il | Jan 13, 2005 | 47 y | 0 |
| C••••••••• R••••• C••••• | Chicago, Il | Mar 28, 2007 | 33 y | 0 |
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• C••••••••• R••••• · President, Chief Compliance Officercontrolsince 11/2000 · owns less than 5%
- C•••••• V••••• J••• J• · Director, Ceo, Sr. Options Principalcontrolsince 09/1999 · owns less than 5%
- G•••••••• N•••• J• · Director, C.O.O, C.F.O.controlsince 12/1995 · owns less than 5%
- K••••• R•••••• I•• · Director, Vice Chairmancontrolsince 09/1999 · owns less than 5%
Entity owners
- R•••••• K•••• T•••• · Ownerdirect · owns 25% to 50%
- V••••• C• C••••• G•••••• T•••• F•• C••••••••• C••••• · Ownerdirect · owns 5% to 10%
- V••••• C• C••••• G•••••• T•••• F•• V••••• J• C••••• · Ownerdirect · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Chicago, Il · principal | 2 | 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
- advisor count dropChange between filings · filing Mar 18, 2026advisory representatives (Item 5.B.3) moved from 5.0 to 2.0 (-60.0%) between the annual amendments of 2025-02-11 and 2026-03-18; the peer median change was 0.0% (11 comparable advisers, 0.0th percentile of changes)peers: other advisers, $100M to $500M (11) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 288 to 315Feb 11, 2025 to Mar 18, 2026
- Corporate clients · 274 to 306Feb 11, 2025 to Mar 18, 2026
- Individual clients · 5 to 8Feb 11, 2025 to Mar 18, 2026
- Assets in custody · $137M to $145MFeb 11, 2025 to Mar 18, 2026
- State-registered IARs · 5 to 2Feb 11, 2025 to Mar 18, 2026
- Discretionary RAUM · $269M to $300MFeb 11, 2025 to Mar 18, 2026
- Individual RAUM · $13.5M to $14.0MFeb 11, 2025 to Mar 18, 2026
- Non-discretionary RAUM · $3.2M to $2.2MFeb 11, 2025 to Mar 18, 2026
- RAUM · $272M to $302MFeb 11, 2025 to Mar 18, 2026
- Accounts · 286 to 288Mar 7, 2024 to Feb 11, 2025
- Corporate clients · 275 to 274Mar 7, 2024 to Feb 11, 2025
- Individual clients · 8 to 5Mar 7, 2024 to Feb 11, 2025
- Assets in custody · $139M to $137MMar 7, 2024 to Feb 11, 2025
- Financial planning clients · unset to Mar 7, 2024 to Feb 11, 2025
- Discretionary RAUM · $264M to $269MMar 7, 2024 to Feb 11, 2025
- Individual RAUM · $10.7M to $13.5MMar 7, 2024 to Feb 11, 2025
- Non-discretionary RAUM · $4.7M to $3.2MMar 7, 2024 to Feb 11, 2025
- RAUM · $269M to $272MMar 7, 2024 to Feb 11, 2025
- Accounts · 283 to 286Jul 12, 2023 to Mar 7, 2024
- Corporate clients · 271 to 275Jul 12, 2023 to Mar 7, 2024
- Individual clients · 11 to 8Jul 12, 2023 to Mar 7, 2024
- Assets in custody · $165M to $139MJul 12, 2023 to Mar 7, 2024
- Discretionary RAUM · $253M to $264MJul 12, 2023 to Mar 7, 2024
- Individual RAUM · $9.2M to $10.7MJul 12, 2023 to Mar 7, 2024
- Non-discretionary RAUM · $4.2M to $4.7MJul 12, 2023 to Mar 7, 2024
- RAUM · $257M to $269MJul 12, 2023 to Mar 7, 2024
- Accounts · 294 to 283Mar 3, 2022 to Mar 15, 2023
- Corporate clients · 283 to 271Mar 3, 2022 to Mar 15, 2023
- Individual clients · 6 to 11Mar 3, 2022 to Mar 15, 2023
- Discretionary RAUM · $308M to $253MMar 3, 2022 to Mar 15, 2023
- Individual RAUM · $10.6M to $9.2MMar 3, 2022 to Mar 15, 2023
- Non-discretionary RAUM · $5.0M to $4.2MMar 3, 2022 to Mar 15, 2023
- RAUM · $313M to $257MMar 3, 2022 to Mar 15, 2023
- Accounts · 290 to 294Mar 25, 2021 to Mar 3, 2022
- Corporate clients · 279 to 283Mar 25, 2021 to Mar 3, 2022
- Individual clients · 11 to 6Mar 25, 2021 to Mar 3, 2022
- Assets in custody · $164M to $165MMar 25, 2021 to Mar 3, 2022
- State-registered IARs · 2 to 5Mar 25, 2021 to Mar 3, 2022
- Discretionary RAUM · $308M to $308MMar 25, 2021 to Mar 3, 2022
- Individual RAUM · $9.5M to $10.6MMar 25, 2021 to Mar 3, 2022
Signals
1 dated events
- Victor Christ Chigas (Director, Chairman, Owner) no longer on Schedule A of A••••• F•••••••• G••••• I••• (listed 2023-03-15, absent 2023-07-12)Jul 12, 2023 · Control person left · inference
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
- w••.a•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 312-655-8200reportedpublic record, Form ADV, Mar 18, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $151Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026