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

C•••••• O••••••• F•••••••• G••••

Independent wealth managerOak Brook, IllinoisCRD 333344SEC 801-131428website IAPD

Legal name C••• A•••••••• L••

Latest filing Feb 18, 2026

First filing on the tape Oct 7, 2024 · 4 filings

SEC status approved since Nov 6, 2024

RAUM

$1.2B

reported, Item 5.F

Discretionary

92%

of RAUM

Private clients

92%

$1.1B individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$121M

derived; firm RAUM over IAPD count

Employees

9 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

4 filings and snapshots on the tape

RAUM$1.2B as of Feb 18, 2026

Mar 4, 2025$907M then

HNW client RAUM$632M as of Feb 18, 2026

Mar 4, 2025$559M then

State-registered IARs (5.B.3)9 as of Feb 18, 2026

Mar 4, 20258 then

Employees (5.A)19 as of Feb 18, 2026

Mar 4, 202518 then

Private funds: no history

RAUM +33% over the last fiscal yearIARs 8 to 9

Practice profile

derived from the filing of Feb 18, 2026; every figure names its basis

Archetypes, each a printed rule

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

RAUM per advisor: $121MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 134derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $3.3MderivedHNW RAUM over HNW clients
Average account: $278,296derivedRAUM over accounts (5.F.2.f)
Discretionary: 92%derivedof RAUM
Institutional: 7.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.9derivedItem 5.A over advisors
Advisors per office: 5.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +33%derivedbetween the last two annual amendments
Advisor growth, one year: +13%derivedItem 5.B.3 between annual amendments
Client growth, one year: +21%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
Custody: $115M, 50 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 an insurance broker or agent (6.A.6)
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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$632M52%
Individuals$479M40%
Pension and profit-sharing plans$89.7M7.4%
Corporations and businesses$6.9M0.6%
Charitable organizations$1.6M0.1%

Individual clients: 1,147reported
HNW clients: 189reported
Pension plan clients: 20reported
Charitable clients: n/areported
Accounts: 4,345reported
Financial planning clients: 26-50reported
Wrap fee programs: noreported
Custody of client assets: $115M for 50 clientsreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=0.92 fund_share=0.0 institutional_share=0.08 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

10 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
F•••• E••••• K••••••Chartered Financial Consultant	Oak Brook, Il	Dec 10, 2024	27 y	2
J•• W•• H•Chartered Financial Consultant	Oak Brook, Il	Dec 10, 2024	25 y	2
B•••••• J•• P•••••	Oak Brook, Il	Dec 10, 2024	19 y	3
C•••• J•••• A••••Certified Financial Planner	Oak Brook, Il	Dec 10, 2024	12 y	1
D•••• N••••• N••••••Certified Financial Planner, Chartered Financial Consultant	Oak Brook, Il	Dec 10, 2024	34 y	2
J••• A•••••• F•••••••Chartered Financial Consultant	Oak Brook, Il	Dec 10, 2024	31 y	2
H•••• A•Certified Financial Planner	Oak Brook, Il	Sep 25, 2025	10 y	0
J••• S••••	Oak Brook, Il	Feb 12, 2026	10 y	0
B••••••• W••••••	Oak Brook, Il	May 1, 2026	40 y	3
A••••••• C•••••••• W••••••	Oak Brook, Il	May 5, 2026	10 y	0

Advisor movement

0 left, 1 joined in 12 months

net +1 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

B••••••• W•••••• from C••••••••• F•••••••• N••••••
May 1, 2026 · Affiliated broker-dealer or bank to independent RIA
J•• W•• H• from C••••••••• F•••••••• N••••••
Dec 10, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
J••• A•••••• F••••••• from C••••••••• F•••••••• N••••••
Dec 10, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
C•••• J•••• A•••• from C••••••••• F•••••••• N••••••
Dec 10, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
B•••••• J•• P••••• from C••••••••• F•••••••• N••••••
Dec 10, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
D•••• N••••• N•••••• from C••••••••• F•••••••• N••••••
Dec 10, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
F•••• E••••• K•••••• from C••••••••• F•••••••• N••••••
Dec 10, 2024 · Affiliated broker-dealer or bank to a newly registered adviser

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

6 joined from C••••••••• F•••••••• N••••••
Dec 31, 2024 · O•••••••, Il

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

K••••••• F••••• E••••• · Chief Compliance Officer & Chief Operating Officercontrol
since 08/2024 · owns 5% to 10%
N••••••• D••••• N••••• · Presidentcontrol
since 08/2024 · owns 50% to 75%
K••••••• F••••• E••••• · Chief Operating Officer, Chief Compliance Officercontrol
since 08/2024 · owns 75% or more of K•• H•••••••• I•••
N••••••• D••••• N••••• · Presidentcontrol
since 08/2024 · owns 75% or more of C••• B••••••••• I•••
F•••••••• J•••• A•••••• · Financial Advisor
since 08/2024 · owns 75% or more of J•• W••••• M••••••••• I•••
H•• J••• W•• · Financial Advisor
since 08/2024 · owns 75% or more of J•• H• W••••• M••••••••• I•••
P•••••• B••••••• J•• · Financial Advisor
since 08/2024 · owns 75% or more of F•• H••• V•••••••• L••
S••••••• B••••• E•••• · Financial Advisor
since 08/2024 · owns 75% or more of B•••• I•••

Entity owners

C••• B••••••••• I••• · Owner
direct · owns 50% to 75%
B•••• I••• · Owner
direct · owns 5% to 10%
F•• H••• V•••••••• L•• · Owner
direct · owns 5% to 10%
J•• H• W••••• M••••••••• I••• · Owner
direct · owns 10% to 25%
J•• W••••• M••••••••• I••• · Owner
direct · owns 10% to 25%
K•• H•••••••• I••• · Owner
direct · owns 5% to 10%

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
Oak Brook, Il · principal	10	4	0

Offices

Schedule D 1.F, the 25 largest

Plainfield, IL9 employees

ADV anomalies

1 against comparable advisers; where to look, not conclusions

account count surgeChange between filings · filing Feb 18, 2026
accounts (Item 5.F.2.f) moved from 1,116.0 to 4,345.0 (+289.0%) between the annual amendments of 2025-03-04 and 2026-02-18; the peer median change was +6.0% (1206 comparable advisers, 99.0th percentile of changes)
peers: independent wealth managers, $1B to $5B (1,206) · 99% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 1,116 to 4,345
Oct 1, 2025 to Feb 18, 2026
Advisory employees · 8 to 9
Oct 1, 2025 to Feb 18, 2026
Corporate clients · 9 to 24
Oct 1, 2025 to Feb 18, 2026
HNW clients · 205 to 189
Oct 1, 2025 to Feb 18, 2026
Individual clients · 898 to 1,147
Oct 1, 2025 to Feb 18, 2026
Pension plan clients · unset to 20.0
Oct 1, 2025 to Feb 18, 2026
Assets in custody · $208M to $115M
Oct 1, 2025 to Feb 18, 2026
Employees · 18 to 19
Oct 1, 2025 to Feb 18, 2026
Financial planning clients · 0 to 26-50
Oct 1, 2025 to Feb 18, 2026
State-registered IARs · 8 to 9
Oct 1, 2025 to Feb 18, 2026
Discretionary RAUM · $907M to $1.1B
Oct 1, 2025 to Feb 18, 2026
HNW RAUM · $559M to $632M
Oct 1, 2025 to Feb 18, 2026
Individual RAUM · $319M to $479M
Oct 1, 2025 to Feb 18, 2026
Non-discretionary RAUM · $0 to $97.5M
Oct 1, 2025 to Feb 18, 2026
Pension RAUM · unset to 89655269.0
Oct 1, 2025 to Feb 18, 2026
RAUM · $907M to $1.2B
Oct 1, 2025 to Feb 18, 2026
Financial planning clients · 0 to 0
Mar 4, 2025 to Oct 1, 2025
Accounts · unset to 1116.0
Oct 7, 2024 to Mar 4, 2025
Corporate clients · unset to 9.0
Oct 7, 2024 to Mar 4, 2025
HNW clients · unset to 205.0
Oct 7, 2024 to Mar 4, 2025
Individual clients · unset to 898.0
Oct 7, 2024 to Mar 4, 2025
Assets in custody · unset to 208475896.0
Oct 7, 2024 to Mar 4, 2025
Custody of client assets · false to true
Oct 7, 2024 to Mar 4, 2025
Discretionary RAUM · unset to 907280235.0
Oct 7, 2024 to Mar 4, 2025
HNW RAUM · unset to 559345618.0
Oct 7, 2024 to Mar 4, 2025
Individual RAUM · unset to 318980964.0
Oct 7, 2024 to Mar 4, 2025
Non-discretionary RAUM · unset to 0.0
Oct 7, 2024 to Mar 4, 2025
RAUM · unset to 907280235.0
Oct 7, 2024 to Mar 4, 2025

Signals

3 dated events

C•••••• O••••••• F•••••••• G•••• reported RAUM $1.2B, up 33% from $907.3M (2025-10-01 to 2026-02-18)
Feb 18, 2026 · RAUM change · derived
6 advisors left C••••••••• F•••••••• N•••••• (O•••••••, IL) for C•••••• O••••••• F•••••••• G•••• on the same day
Dec 31, 2024 · Team lift-out · derived
C•••••• O••••••• F•••••••• G•••• filed its initial SEC registration (Form ADV)
Oct 7, 2024 · 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 email: info@cofgroup.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: lgiaquinto@cofgroup.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: arand@cofgroup.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: gahn@cofgroup.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: kjohnson@cofgroup.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: klackey@cofgroup.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: kvaneijk@cofgroup.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: pmorejon@cofgroup.comreportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 630-954-5572reportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 815-439-6903reportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 630-954-5701reportedpublished by the firm, firm site, Sep 15, 2026
Firm profile: linkedin.com/company/chicago-oakbrook-financial-groupreportedpublic record, Form ADV, Sep 19, 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: $121Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026