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
P••••• L••
Latest filing Mar 6, 2020
First filing on the tape Feb 23, 2012 · 14 filings
RAUM
$794M
reported, Item 5.F
Discretionary
73%
of RAUM
Private clients
79%
$624M 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
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$794M as of Mar 6, 2020
Feb 23, 2012$277M then
HNW client RAUM$624M as of Mar 6, 2020
Mar 30, 2018$663M then
State-registered IARs (5.B.3)2 as of Mar 6, 2020
Feb 23, 20120 then
Employees (5.A)3 as of Mar 6, 2020
Jan 30, 20135 then
Private funds: no history
RAUM +19% over the last fiscal year+9.4% a year over threeIARs 3 to 2offices 1 to 0
Practice profile
derived from the filing of Mar 6, 2020; every figure names its basis
- RAUM per advisor
- $397MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $1.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 73%derivedof RAUM
- Institutional
- 21%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- $1.2BreportedItem 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)
- 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
- High-net-worth individuals$624M79%
- Charitable organizations$170M21%
- Individual clients
- n/areported
- HNW clients
- 407reported
- Pension plan clients
- n/areported
- Charitable clients
- 16reported
- Accounts
- 423reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $581M sponsored, $581M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
- B••••••• L•• W••••• to H••••• C•••••• M•••••••••Jun 25, 2020 · RIA to a newly registered adviser
- G•••••• E••••• W••• to P•••••• I••••••••• M••••••••• L••Jun 25, 2020 · Other
- R••••• H••••• P•••••• to H••••• C•••••• M•••••••••Jun 2, 2020 · RIA to a newly registered adviser
- R••••• H••••• P•••••• to P•••••• I••••••••• M••••••••• L••Dec 31, 2008 · Other
Joined, latest
- R••••• H••••• P•••••• from P•••••• I••••••••• M••••••••• L••Apr 10, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••••• R••••• H••••• · Chief Investment Officer & Portfolio Managercontrolsince 03/2018 · owns less than 5%
- W•••• G•••••• E••••• · Managercontrolsince 04/2010 · owns less than 5%
- P••••••• R••••• H••••• · Stockholdercontrolsince 09/1980 · owns 50% to 75% of M••••••••• C••••••
- R••••••• R•••••• P•••••• · Chief Compliance Officer & Secretarysince 04/2010 · owns less than 5%
- W•••••• B••••••• L•• · President & Treasurersince 12/2008 · owns less than 5%
Entity owners
- M••••••••• C•••••• · Sole Memberdirect · 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.
What changed
consecutive filings, newest first
- Accounts · 360 to 423Aug 29, 2019 to Mar 6, 2020
- BD registered reps · 4 to 3Aug 29, 2019 to Mar 6, 2020
- Charity clients · 9 to 16Aug 29, 2019 to Mar 6, 2020
- HNW clients · 351 to 407Aug 29, 2019 to Mar 6, 2020
- Employees · 4 to 3Aug 29, 2019 to Mar 6, 2020
- State-registered IARs · 3 to 2Aug 29, 2019 to Mar 6, 2020
- Other offices · 1 to 0Aug 29, 2019 to Mar 6, 2020
- Discretionary RAUM · $478M to $581MAug 29, 2019 to Mar 6, 2020
- HNW RAUM · $526M to $624MAug 29, 2019 to Mar 6, 2020
- Non-discretionary RAUM · $189M to $212MAug 29, 2019 to Mar 6, 2020
- RAUM · $666M to $794MAug 29, 2019 to Mar 6, 2020
- Wrap assets (manager) · $478M to $581MAug 29, 2019 to Mar 6, 2020
- Wrap assets (sponsor) · $478M to $581MAug 29, 2019 to Mar 6, 2020
- HQ city · CHICAGO to LOMBARDMar 29, 2019 to Jul 31, 2019
- Accounts · 351 to 360Mar 30, 2018 to Mar 29, 2019
- Charity clients · 3 to 9Mar 30, 2018 to Mar 29, 2019
- HNW clients · 346 to 351Mar 30, 2018 to Mar 29, 2019
- Pension plan clients · 2.0 to unsetMar 30, 2018 to Mar 29, 2019
- Discretionary RAUM · $348M to $478MMar 30, 2018 to Mar 29, 2019
- HNW RAUM · $663M to $526MMar 30, 2018 to Mar 29, 2019
- Non-discretionary RAUM · $380M to $189MMar 30, 2018 to Mar 29, 2019
- Pension RAUM · 3126984.0 to unsetMar 30, 2018 to Mar 29, 2019
- RAUM · $727M to $666MMar 30, 2018 to Mar 29, 2019
- Wrap assets (manager) · $348M to $478MMar 30, 2018 to Mar 29, 2019
- Wrap assets (sponsor) · $348M to $478MMar 30, 2018 to Mar 29, 2019
- Accounts · 377 to 351Mar 29, 2017 to Mar 30, 2018
- BD registered reps · 3 to 4Mar 29, 2017 to Mar 30, 2018
- Charity clients · unset to 3.0Mar 29, 2017 to Mar 30, 2018
- HNW clients · unset to 346.0Mar 29, 2017 to Mar 30, 2018
- Pension plan clients · unset to 2.0Mar 29, 2017 to Mar 30, 2018
- Employees · 3 to 4Mar 29, 2017 to Mar 30, 2018
- Financial planning clients · unset to 0Mar 29, 2017 to Mar 30, 2018
- State-registered IARs · 2 to 3Mar 29, 2017 to Mar 30, 2018
- Other offices · unset to 1.0Mar 29, 2017 to Mar 30, 2018
- Discretionary RAUM · $307M to $348MMar 29, 2017 to Mar 30, 2018
- HNW RAUM · unset to 663227089.0Mar 29, 2017 to Mar 30, 2018
- Non-discretionary RAUM · $299M to $380MMar 29, 2017 to Mar 30, 2018
- Pension RAUM · unset to 3126984.0Mar 29, 2017 to Mar 30, 2018
- RAUM · $606M to $727MMar 29, 2017 to Mar 30, 2018
- Related adviser · true to falseMar 29, 2017 to Mar 30, 2018
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.
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