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
P••••••• W••••• P•••••••
Legal name E••• V••••••• L••
Latest filing Mar 20, 2026
First filing on the tape Apr 24, 2025 · 5 filings
SEC status approved since Apr 25, 2025
RAUM
$283M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$279M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$31.4M
derived; firm RAUM over IAPD count
Employees
13
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$283M as of Mar 20, 2026
Apr 24, 2025$0 then
HNW client RAUM$210M as of Mar 20, 2026
Aug 21, 2025$192M then
State-registered IARs (5.B.3)9 as of Mar 20, 2026
Apr 24, 20258 then
Employees (5.A)13 as of Mar 20, 2026
Apr 24, 20259 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 8 to 9offices 0 to 1
Practice profile
derived from the filing of Mar 20, 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
- RAUM per advisor
- $31.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 30derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $305,095derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 4.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
- Custody
- $12.5M, 18 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)
- 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$210M74%
- Individuals$68.3M24%
- Pension and profit-sharing plans$4.0M1.4%
- Corporations and businesses$172,7060.1%
- Individual clients
- 165reported
- HNW clients
- 102reported
- Pension plan clients
- 7reported
- Charitable clients
- n/areported
- Accounts
- 927reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $12.5M for 18 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• T•••••Certified Financial Planner | Itasca, Il | May 2, 2025 | 27 y | 5 |
| M•••••• K•••• M• W•••••• | Itasca, Il | May 2, 2025 | 20 y | 1 |
| T••••• A•••• P••••• | Itasca, Il | May 2, 2025 | 15 y | 3 |
| G••• P•••Certified Financial Planner | Itasca, Il | May 2, 2025 | 10 y | 4 |
| M••• R•••••• S•••••••Certified Financial Planner | Itasca, Il | May 2, 2025 | 12 y | 1 |
| S•••• L• K•••••• | Itasca, Il | May 2, 2025 | 26 y | 3 |
| C•••••• N•••••• | Itasca, Il | May 2, 2025 | 11 y | 3 |
| A••••• L•••• B••••• | Itasca, Il | May 2, 2025 | 29 y | 1 |
| R••• R•••••• V••••Chartered Financial Analyst | Itasca, Il | Feb 13, 2026 | 21 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
- C•••••• N•••••• from A••••••••• F•••••••• S•••••••• L••May 2, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- S•••• L• K•••••• from A••••••••• F•••••••• S•••••••• L••May 2, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- T••••• A•••• P••••• from A••••••••• F•••••••• S•••••••• L••May 2, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- A••••• L•••• B••••• from A••••••••• F•••••••• S•••••••• L••May 2, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- M•••••• K•••• M• W•••••• from A••••••••• F•••••••• S•••••••• L••May 2, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- J•••••• T••••• from A••••••••• F•••••••• S•••••••• L••May 2, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- G••• P••• from A••••••••• F•••••••• S•••••••• L••May 2, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- M••• R•••••• S••••••• from A••••••••• F•••••••• S•••••••• L••May 2, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 8 joined from A••••••••• F•••••••• S•••••••• L••May 5, 2025 · Westmont, Il
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M• W••••••• M••••••• K•••• · Partner And Chief Compliance Officercontrolsince 03/2025 · owns less than 5%
- P•••••• T•••••• A•••• · Partnercontrolsince 03/2025 · owns less than 5%
Entity owners
- M••••• H••••••• L•• · Ownerdirect · owns 75% or more
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 |
|---|---|---|---|---|---|
| Itasca, Il · principal | 9 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 20, 2026custody of client assets (Item 9.A): no on the filing of 2025-12-03, yes on the filing of 2026-03-20peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 3,087 to 927Dec 3, 2025 to Mar 20, 2026
- BD registered reps · 1 to 2Dec 3, 2025 to Mar 20, 2026
- HNW clients · 84 to 102Dec 3, 2025 to Mar 20, 2026
- Individual clients · 143 to 165Dec 3, 2025 to Mar 20, 2026
- Pension plan clients · unset to 7.0Dec 3, 2025 to Mar 20, 2026
- Assets in custody · unset to 12509695.0Dec 3, 2025 to Mar 20, 2026
- Custody of client assets · false to trueDec 3, 2025 to Mar 20, 2026
- Employees · 11 to 13Dec 3, 2025 to Mar 20, 2026
- Financial planning clients · 0 to 51-100Dec 3, 2025 to Mar 20, 2026
- Discretionary RAUM · $254M to $283MDec 3, 2025 to Mar 20, 2026
- HNW RAUM · $192M to $210MDec 3, 2025 to Mar 20, 2026
- Individual RAUM · $62.1M to $68.3MDec 3, 2025 to Mar 20, 2026
- Pension RAUM · unset to 3988356.0Dec 3, 2025 to Mar 20, 2026
- RAUM · $254M to $283MDec 3, 2025 to Mar 20, 2026
- Accounts · 0 to 3,087May 13, 2025 to Aug 21, 2025
- HNW clients · unset to 84.0May 13, 2025 to Aug 21, 2025
- Individual clients · unset to 143.0May 13, 2025 to Aug 21, 2025
- Financial planning clients · 0 to 0May 13, 2025 to Aug 21, 2025
- Discretionary RAUM · $0 to $254MMay 13, 2025 to Aug 21, 2025
- HNW RAUM · unset to 192324184.0May 13, 2025 to Aug 21, 2025
- Individual RAUM · unset to 62063131.0May 13, 2025 to Aug 21, 2025
- RAUM · $0 to $254MMay 13, 2025 to Aug 21, 2025
- Advisory employees · 8 to 9Apr 24, 2025 to May 13, 2025
- BD registered reps · 9 to 1Apr 24, 2025 to May 13, 2025
- Employees · 9 to 11Apr 24, 2025 to May 13, 2025
- State-registered IARs · 8 to 9Apr 24, 2025 to May 13, 2025
- Other offices · 0 to 1Apr 24, 2025 to May 13, 2025
Signals
1 dated events
- 8 advisors left A••••••••• F•••••••• S•••••••• L•• (Westmont, IL) for P••••••• W••••• P••••••• within 4 daysMay 5, 2025 · Team lift-out · derived
Across DFX
shared identifiers only, never a name match
- P••••••• W••••• P••••••• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Business phone
- 630-250-9020reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/pendulum-partners/posts/?feedView=allreportedpublic record, Form ADV, Sep 18, 2026
- Website
- pendulum.partnersreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 630-861-6143reportedpublic record, Form ADV, Mar 20, 2026
- Contact form
- pendulum.partners/contact-usreportedpublished 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
- $31.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026