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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Former SEC-registered adviser
W••• F•••••••• M••••••••• L••
Latest filing Mar 24, 2015
First filing on the tape Mar 29, 2012 · 7 filings
RAUM
$20.5M
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
4
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$20.5M as of Mar 24, 2015
Mar 29, 2012$166M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 24, 2015
Mar 29, 20120 then
Employees (5.A)4 as of Mar 24, 2015
Mar 27, 20138 then
Private funds: no history
RAUM -93% over the last fiscal year-50% a year over threeIARs 5 to 4
Practice profile
derived from the filing of Mar 24, 2015; every figure names its basis
- RAUM per advisor
- $5.1MderivedRAUM 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
- $2.9MderivedRAUM 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
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -93%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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
- 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)
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
- 7reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
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
- S••••• R•••• M••••• to F••••• M••••• W••••• A•••••••• L••Oct 30, 2015 · Other
- S•••• B• M•••••• to F••••• M••••• W••••• A•••••••• L••Oct 30, 2015 · Other
- T••••• W•••••• O••••••••• to F••••• M••••• W••••• A•••••••• L••Dec 31, 2014 · Other
- R•• E• C••• to F••••• M••••• W••••• A•••••••• L••Dec 31, 2014 · Other
- M•••• R••••• M•••• to W••• F•••••••• M••••••••• L••Feb 18, 2014 · Other
- D•••••• J•••• U••••• to W••• F•••••••• M••••••••• L••Apr 22, 2010 · Other
- P•••• F•••••••• B•••• to W•••• F•••• A•••••••Apr 7, 2009 · Other
- B•••• R••••• P•••• to W••••••••• F•••••••• G••••• I•••Apr 1, 2009 · Other
- T•••••• R••••• A•••••••• to C•••••• S••••••••• I••••••••• C•••••••••Jan 31, 2008 · Other
- R••••• L• B•••• to R••••• S•••••• C•••••• M••••••••• L••Dec 31, 2007 · Other
- D•••• E••••• S•••••••• to R••••• S•••••• C•••••• M••••••••• L••Dec 31, 2007 · Other
- R••••• S•••• M••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Dec 31, 2007 · Other
- C•••••• N• C•••••• to V••• F•••••••• A•••••••• I•••Sep 20, 2007 · Other
- M•••••• A• A••••••••• to V••• F•••••••• A•••••••• I•••Aug 31, 2007 · Other
- L••• M•••• P••••••• to W•••• F•••• A•••••••Mar 3, 2006 · Other
Joined, latest
- T••••• W•••••• O••••••••• from R••••••••• A••••••• D•••••• L••May 13, 2014 · Other
- S•••• B• M•••••• from M•••• C••••••• A••••••• S••••••Mar 20, 2014 · Other
- S••••• R•••• M••••• from O••• W••••• A•••••••• I•••Nov 11, 2010 · Other
- R•• E• C••• from O•• B•••• S•••••••• I••••••••• A••••••• L••Jul 10, 2010 · Other
- B•••• R••••• P•••• from V••• F•••••••• P•••••••• L••Apr 13, 2006 · Other
- D•••••• J•••• U••••• from G•••••• S•••• W••••• S•••••••• L•••Jan 6, 2006 · Other
- R••••• L• B•••• from W••••••• S••••••••• A•••••••Jun 17, 2005 · Other
- D•••• E••••• S•••••••• from W••••••• S••••••••• A•••••••Jun 17, 2005 · Other
- R••••• S•••• M••••• from C••••••••• P••••••••• A•••••• S•••••••• L••Jan 6, 2004 · Other
- P•••• F•••••••• B•••• from W••• F•••••••• M••••••••• L••Sep 18, 1998 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for F••••• M••••• W••••• A•••••••• L••Oct 30, 2015 · Oakb•••• Terrace, Il
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• K•••••• E••••• · Finop, Treasurercontrolsince 09/1997 · owns less than 5%
- R••••••••• R•••••• · President & Ccocontrolsince 07/2013 · owns less than 5%
Entity owners
- W••• F•••••••• G•••• H•••••••• L•• · Sole Memberdirect · owns 75% or more
- W••• • C•••••• L•• · Sole Memberindirect · owns 75% or more of W••• F•••••••• G•••• H•••••••• L••
Related persons
Schedule D 7.A
- W••• • C•••••• L••insurancen
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 687 to 7Dec 17, 2014 to Mar 24, 2015
- Advisory employees · 6 to 4Dec 17, 2014 to Mar 24, 2015
- BD registered reps · 6 to 0Dec 17, 2014 to Mar 24, 2015
- Employees · 7 to 4Dec 17, 2014 to Mar 24, 2015
- Insurance-licensed employees · 0 to 4Dec 17, 2014 to Mar 24, 2015
- State-registered IARs · 5 to 4Dec 17, 2014 to Mar 24, 2015
- Discretionary RAUM · $64.2M to $0Dec 17, 2014 to Mar 24, 2015
- Non-discretionary RAUM · $211M to $20.5MDec 17, 2014 to Mar 24, 2015
- RAUM · $275M to $20.5MDec 17, 2014 to Mar 24, 2015
- Related broker-dealer · true to falseDec 17, 2014 to Mar 24, 2015
- Accounts · 581 to 687Jul 8, 2013 to Mar 27, 2014
- BD registered reps · 8 to 6Jul 8, 2013 to Mar 27, 2014
- Employees · 8 to 7Jul 8, 2013 to Mar 27, 2014
- State-registered IARs · 6 to 5Jul 8, 2013 to Mar 27, 2014
- Discretionary RAUM · $45.8M to $64.2MJul 8, 2013 to Mar 27, 2014
- Non-discretionary RAUM · $124M to $211MJul 8, 2013 to Mar 27, 2014
- RAUM · $170M to $275MJul 8, 2013 to Mar 27, 2014
- Accounts · 588 to 581May 7, 2012 to Mar 27, 2013
- Advisory employees · unset to 6.0May 7, 2012 to Mar 27, 2013
- BD registered reps · unset to 8.0May 7, 2012 to Mar 27, 2013
- Employees · unset to 8.0May 7, 2012 to Mar 27, 2013
- State-registered IARs · 0 to 6May 7, 2012 to Mar 27, 2013
- Discretionary RAUM · $41.0M to $45.8MMay 7, 2012 to Mar 27, 2013
- Non-discretionary RAUM · $125M to $124MMay 7, 2012 to Mar 27, 2013
- RAUM · $166M to $170MMay 7, 2012 to Mar 27, 2013
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- Oakbrook Financial Group · Venture Capitalshared crd · org
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
- Former SEC-registered 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