DFX Intelligence

RIA Intelligence

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SEC-registered adviser

R••• S••••••• C•••••• A•••••••• L••

Other adviserChicago, IllinoisCRD 338780SEC 801-134982websiteIAPD
Latest filing Mar 30, 2026
First filing on the tape Jan 21, 2026 · 2 filings
SEC status approved since Jan 21, 2026
RAUM
$61.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$61.0M as of Mar 30, 2026
Jan 21, 2026$72.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Jan 21, 20260 then
Employees (5.A)3 as of Mar 30, 2026
Jan 21, 20263 then
Private funds1 as of Mar 30, 2026
Jan 21, 20261 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
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
$20.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%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
unknownderivedbetween 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 pooled vehicles, otherreportedItem 5.G
Custody
$21.9M, 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)
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$21.9M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
$21.9M for 2 clientsreported
Compensation
% of AUM, performancereported
Class basis
private_client_share=0.0 fund_share=0.36 institutional_share=0.0 related_bd=false related_bank=true 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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C••••• W•••••• H•••• · Chief Compliance Officercontrol
        since 12/2024 · owns less than 5%
      • E••••••• J•••• L• · Membercontrol
        since 12/2024 · owns 25% to 50%
      • R••••••••• J••••••• S••••• · Managing Membercontrol
        since 12/2024 · owns 25% to 50%
      • B•••••• M••••••• P•••••• · Member
        since 12/2024 · 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
      • Assets in custody · $30.5M to $21.9M
        Jan 21, 2026 to Mar 30, 2026
      • Discretionary RAUM · $72.1M to $61.0M
        Jan 21, 2026 to Mar 30, 2026
      • Pooled vehicle RAUM · $30.5M to $21.9M
        Jan 21, 2026 to Mar 30, 2026
      • RAUM · $72.1M to $61.0M
        Jan 21, 2026 to Mar 30, 2026
      Signals
      No event on the tape.
      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
      r•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
      Principal office phone
      312.858.1670reportedpublic record, Form ADV, Mar 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
      Other adviserderiveda 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