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••••• A••••••• S•••••••• L••

Other adviserOak Brook, IllinoisCRD 338893SEC 801-135010IAPD
Latest filing Aug 26, 2026
First filing on the tape Dec 17, 2025 · 4 filings
SEC status approved since Jan 6, 2026
RAUM
$443M
reported, Item 5.F
Discretionary
0.0%
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
48
36 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$443M as of Aug 26, 2026
Dec 17, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 26, 2026
Dec 17, 20250 then
Employees (5.A)48 as of Aug 26, 2026
Dec 17, 20252 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 26, 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
$443MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutionsreportedItem 5.G
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
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
Class basis
private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true 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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••• A••••••• J••••• · Chief Executive Officercontrol
        since 05/2025 · owns less than 5%
      • I••••••••• T•••••••• W••••••• · Chief Compliance Officer
        since 07/2026 · owns less than 5%
      Entity owners
      • I••••• I• H•••••••• L•• · Sole Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      ADV anomalies
      1 against comparable advisers; where to look, not conclusions
      • low discretionary shareStatic outlier · filing Aug 26, 2026
        discretionary share of RAUM of 0% against a peer median of 100% (212 comparable advisers, 0.0th percentile, 33.7 robust deviations)
        peers: other advisers, $100M to $500M (212) · 0.0% percentile
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Accounts · 0 to 1
        Mar 30, 2026 to May 6, 2026
      • Advisory employees · 1 to 36
        Mar 30, 2026 to May 6, 2026
      • Pooled vehicle clients · 1.0 to unset
        Mar 30, 2026 to May 6, 2026
      • Employees · 2 to 48
        Mar 30, 2026 to May 6, 2026
      • Non-discretionary RAUM · $0 to $443M
        Mar 30, 2026 to May 6, 2026
      • Pooled vehicle RAUM · 0.0 to unset
        Mar 30, 2026 to May 6, 2026
      • RAUM · $0 to $443M
        Mar 30, 2026 to May 6, 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
      Principal office phone
      630-218-8000reportedpublic record, Form ADV, Aug 26, 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