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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
I•••••• S••••••••• I•••
Latest filing Oct 14, 2025
First filing on the tape Dec 7, 2011 · 60 filings
SEC status approved since May 25, 1977
RAUM
$94.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
41%
$38.5M individuals and HNW
Advisors
19
registered through the firm on IAPD
RAUM per advisor
$5.0M
derived; firm RAUM over IAPD count
Employees
25
14 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
60 filings and snapshots on the tape
RAUM$94.2M as of Oct 14, 2025
Sep 20, 2012$128M then
HNW client RAUM$31.2M as of Oct 14, 2025
Sep 28, 2018$47.7M then
State-registered IARs (5.B.3)12 as of Oct 14, 2025
Sep 30, 20133 then
Employees (5.A)25 as of Oct 14, 2025
Sep 30, 20136 then
Private funds: no history
RAUM -26% over the last fiscal year-19% a year over threeIARs 10 to 12
Practice profile
derived from the filing of Oct 14, 2025; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- RAUM per advisor
- $5.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 2derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $2.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.2derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Wrap fee program
- $4.6MreportedItem 5.I
- 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 a broker-dealer (6.A.1)
- 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
- Corporations and businesses$55.7M59%
- High-net-worth individuals$31.2M33%
- Individuals$7.3M7.7%
- Individual clients
- 18reported
- HNW clients
- 11reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 48reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $4.6M sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=0.41 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=15.0derived
Advisors registered through the firm
11 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| O••• J•••• G••••• | Highland Park, Il | Sep 23, 2014 | 21 y | 2 |
| R•••••• H•••••••• | El Paso, Tx | Oct 29, 2014 | 22 y | 3 |
| E•••• M•••• B•••••• | Highland Park, Il | Sep 26, 2016 | 18 y | 2 |
| M•••••• D•••• C••••• | Spirit Lake, Ia | Nov 7, 2016 | 42 y | 0 |
| D•••• D• L• L••• | Highland Park, Il | Apr 25, 2017 | 28 y | 6 |
| F•••• G••••• | El Paso, Tx | Feb 12, 2020 | 28 y | 4 |
| J•••• J• K•• | Highland Park, Il | Jul 21, 2020 | 14 y | 0 |
| D••••••• A••••• | Highland Park, Il | Aug 18, 2020 | 10 y | 0 |
| L••• E• A•••••••• | Highland Park, Il | Jan 26, 2021 | 22 y | 0 |
| D••••• H•••••• | Highland Park, Il | Mar 1, 2021 | 12 y | 1 |
| N•••• M•••••••• D• B••••• | Indian Land, Sc | Apr 14, 2021 | 32 y | 2 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 5.3% of current headcount4 left over 36 months
Left, latest
- Z••• I••••• to E•••••••• A•••• M••••••••• L••Jul 30, 2026 · RIA to a state-registered adviser
- S•••• K• C••• to C••••• I••••••••• A••••••• L••Aug 8, 2025 · RIA to affiliated broker-dealer or bank
- F••••••• J••••• P•• to T•• A•••••••• I•••Dec 13, 2024 · RIA to affiliated broker-dealer or bank
- R•••••• L••••• to P•••••• P•••••••• O• S•• D••••Feb 27, 2024 · Other
- A•••••• F•••••••• to C••••••• P•••••• W•••••Sep 16, 2022 · RIA to RIA
- K•••• J••••• S•••• to F••••••• P••••••• A•• W•••••••• A•••••••Jun 28, 2021 · RIA to affiliated broker-dealer or bank
- J••• L•••••• D• L• G•••• to F••••• A•••• A••••••• L••Mar 3, 2021 · Other
- G••••••• P••• T•••• to T•• A•••••••• I•••Oct 26, 2020 · RIA to affiliated broker-dealer or bank
- A•••••• G••••• M•••• to I••••••• A••••••• S•••••••• L••Aug 6, 2020 · RIA to RIA
- I•••••• M•••• S••••• to I••••••• A••••••• S•••••••• L••Jul 7, 2020 · RIA to affiliated broker-dealer or bank
- A•••••• G••••• M•••• T••••••• to I••••••• A••••••• S•••••••• L••Jul 7, 2020 · RIA to RIA
- M••••• S••••••• to V••••••••• I••• I•••Jun 2, 2020 · RIA to RIA
- M•••• E••••• C•••••• to P•••••• I••••••••• M••••••••• I•••Feb 7, 2020 · RIA to RIA
- S••••••• R•••••• D••••••••• to I••••••• A••••••• S•••••••• L••Dec 3, 2019 · RIA to RIA
- C••••• J••••• L•••••• to P•••••• I••••••••• M••••••••• I•••Sep 5, 2019 · RIA to RIA
Joined, latest
- A•••••• G••••• M•••• from I••••••• A••••••• S•••••••• L••May 15, 2023 · RIA to RIA
- A•••••• G••••• M•••• T••••••• from I••••••• A••••••• S•••••••• L••Feb 14, 2022 · RIA to RIA
- A•••••• F•••••••• from F••••••• P••••••• A•• W•••••••• A•••••••Aug 12, 2021 · Affiliated broker-dealer or bank to independent RIA
- S•••• K• C••• from C•••••••• G••••• M•••••• I•••Aug 5, 2021 · Affiliated broker-dealer or bank to independent RIA
- N•••• M•••••••• D• B••••• from C•••••• S••••• • C••• I•••Apr 14, 2021 · Affiliated broker-dealer or bank to independent RIA
- D••••• H•••••• from S•• J••• I••••••••• L••Mar 1, 2021 · Other
- G••••••• P••• T•••• from K••• C•••••• M••••••••• I•••Nov 4, 2019 · Other
- M••••• S••••••• from I••••••• A••••••• S•••••••• L••Sep 20, 2019 · RIA to RIA
- F•••••••• M••••••••• K••• from U•• F•••••••• S••••••• I•••May 10, 2018 · Other
- A•••••• G••••• M•••• from I••••••• A••••••• S•••••••• L••May 7, 2018 · Other
- I•••••• M•••• S••••• from I••••••• A••••••• S•••••••• L••Apr 16, 2018 · Other
- A•••••• G••••• M•••• T••••••• from I••••••• A••••••• S•••••••• L••Apr 11, 2018 · Other
- L•••• R•••••• R•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 23, 2018 · Other
- F••••••• J••••• P•• from E•• C•••••• A••••••• I•••Sep 14, 2017 · Other
- S••••••• R•••••• D••••••••• from D••••••••• A•••• M••••••••• L••Sep 11, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from I••••••• A••••••• S•••••••• L••May 8, 2018 · Miami, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••••• C••••• J••••• · Principal, President, Ceocontrolsince 04/2020 · owns less than 5%
- L••••••• C••••• J••••• · Shareholdercontrolsince 09/2019 · owns 50% to 75% of I••••••••• I•••(Holding Company)
- G•••••• O••• J•••• · Coosince 04/2020 · owns less than 5%
- K••• J•••• J• · Ccosince 04/2020 · owns less than 5%
- M•••••• M•••••• J••••• M•• · Cfo, Finopsince 04/2020 · owns less than 5%
Entity owners
- I••••••••• I••• · Holding Company/Stockholderdirect · owns 75% or more
- B•••• S•• J••• I••••••••• I•• · Shareholderindirect · owns 25% to 50% of I••••••••• I•••(Holding Company)
Related persons
Schedule D 7.A
- P•••••• I••••••••• M••••••••• I•••investment advisernRAUM $186M
Advisers that list I•••••• S••••••••• I••• as a related person
- 282557 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Highland Park, Il · principal | 10 | 0 | 1 | ||
| Miami, Fl | 7 | 0 | 0 | ||
| El Paso, Tx | 6 | 0 | 0 | ||
| Coral Gables, Fl | 3 | 0 | 0 | ||
| Fort Mill, Sc | 2 | 0 | 0 | ||
| San A••••••, Tx | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Coral Gables, FL3 employees
- El Paso, TX2 employees
- , 1 employees
- Lancaster, PA1 employees
- Coral Gables, FL1 employees
What changed
consecutive filings, newest first
- Accounts · 62 to 48Sep 30, 2024 to Oct 14, 2025
- Advisory employees · 10 to 14Sep 30, 2024 to Oct 14, 2025
- BD registered reps · 14 to 15Sep 30, 2024 to Oct 14, 2025
- Corporate clients · 31 to 19Sep 30, 2024 to Oct 14, 2025
- HNW clients · 9 to 11Sep 30, 2024 to Oct 14, 2025
- Individual clients · 22 to 18Sep 30, 2024 to Oct 14, 2025
- Employees · 23 to 25Sep 30, 2024 to Oct 14, 2025
- Financial planning clients · 1-10 to 1-10Sep 30, 2024 to Oct 14, 2025
- State-registered IARs · 10 to 12Sep 30, 2024 to Oct 14, 2025
- Discretionary RAUM · $148M to $94.2MSep 30, 2024 to Oct 14, 2025
- HNW RAUM · $29.5M to $31.2MSep 30, 2024 to Oct 14, 2025
- Individual RAUM · $9.8M to $7.3MSep 30, 2024 to Oct 14, 2025
- RAUM · $148M to $94.2MSep 30, 2024 to Oct 14, 2025
- Wrap assets (sponsor) · $8.3M to $4.6MSep 30, 2024 to Oct 14, 2025
- Accounts · 54 to 62Jun 18, 2024 to Sep 30, 2024
- Corporate clients · 26 to 31Jun 18, 2024 to Sep 30, 2024
- Individual clients · 19 to 22Jun 18, 2024 to Sep 30, 2024
- Discretionary RAUM · $127M to $148MJun 18, 2024 to Sep 30, 2024
- HNW RAUM · $28.6M to $29.5MJun 18, 2024 to Sep 30, 2024
- Individual RAUM · $6.5M to $9.8MJun 18, 2024 to Sep 30, 2024
- RAUM · $127M to $148MJun 18, 2024 to Sep 30, 2024
- Wrap assets (sponsor) · $9.0M to $8.3MJun 18, 2024 to Sep 30, 2024
- Accounts · 222 to 54Mar 7, 2023 to Sep 29, 2023
- Advisory employees · 11 to 10Mar 7, 2023 to Sep 29, 2023
- BD registered reps · 15 to 14Mar 7, 2023 to Sep 29, 2023
- Corporate clients · 30 to 26Mar 7, 2023 to Sep 29, 2023
- HNW clients · 13 to 9Mar 7, 2023 to Sep 29, 2023
- Individual clients · 179 to 19Mar 7, 2023 to Sep 29, 2023
- Employees · 24 to 23Mar 7, 2023 to Sep 29, 2023
- State-registered IARs · 19 to 10Mar 7, 2023 to Sep 29, 2023
- Discretionary RAUM · $163M to $127MMar 7, 2023 to Sep 29, 2023
- HNW RAUM · $30.4M to $28.6MMar 7, 2023 to Sep 29, 2023
- Individual RAUM · $36.9M to $6.5MMar 7, 2023 to Sep 29, 2023
- RAUM · $163M to $127MMar 7, 2023 to Sep 29, 2023
- Related adviser · false to trueMar 7, 2023 to Sep 29, 2023
- Related broker-dealer · false to trueMar 7, 2023 to Sep 29, 2023
- Wrap assets (sponsor) · $48.8M to $9.0MMar 7, 2023 to Sep 29, 2023
- Accounts · 243 to 222Aug 24, 2022 to Sep 30, 2022
- Corporate clients · 39 to 30Aug 24, 2022 to Sep 30, 2022
- HNW clients · 17 to 13Aug 24, 2022 to Sep 30, 2022
Signals
7 dated events
- Z••• I••••• left I•••••• S••••••••• I••• for E•••••••• A•••• M••••••••• L•• (registered 2026-07-28)Jul 30, 2026 · a•••••• firm c•••ge · fact
- S•••• K• C••• left I•••••• S••••••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2025-07-08)Aug 8, 2025 · a•••••• firm c•••ge · fact
- F••••••• J••••• P•• left I•••••• S••••••••• I••• for T•• A•••••••• I••• (registered 2025-11-25)Dec 13, 2024 · a•••••• firm c•••ge · fact
- R•••••• L••••• left I•••••• S••••••••• I••• for P•••••• P•••••••• O• S•• D•••• (registered 2024-08-14)Feb 27, 2024 · a•••••• firm c•••ge · fact
- A•••••• F•••••••• left I•••••• S••••••••• I••• for C••••••• P•••••• W••••• (registered 2022-08-26)Sep 16, 2022 · a•••••• firm c•••ge · fact
- Jerry Leonard Schwartz (Finop, Cfo, Exec Vice President, Chief Operations Officer) no longer on Schedule A of I•••••• S••••••••• I••• (listed 2019-09-27, absent 2020-05-12)May 12, 2020 · Control person left · inference
- I•••••• S••••••••• I••• reported RAUM $213.3M, up 93% from $110.2M (2018-09-28 to 2019-09-26)Sep 26, 2019 · ria raum c•••ge · derived
Across DFX
shared identifiers only, never a name match
- I•••••• S••••••••• I••• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business phone
- 224-632-4700reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 877-464-1400reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- I••••••A•••••••.NETreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 224-632-4700reportedpublic record, Form ADV, Oct 14, 2025
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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $5.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
I•••••• S••••••••• I••• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
Checking your plan…