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.
Firms
SEC-registered investment advisers
One row per CRD, from the adviser’s latest Form ADV. The class is a rule over Item 5.D (where the RAUM sits) and Item 7.A (related broker-dealer or bank); the wirehouses and national broker-dealers are a short curated list. Advisors is the count of representatives IAPD registers through the firm today, which is not the same as the firm’s own Item 5.B answer.
| Firm | HQ | Class | RAUM | Private clients | Advisors | RAUM / advisor | Offices | Private funds |
|---|---|---|---|---|---|---|---|---|
| Gll Investors CRD 161830 | Chicago, IL | asset manager | $184M | 0.0% | 0 | n/a | 0 | 5 |
| Kuhn & Company Investment Counsel, LLC CRD 306434 | Chicago, IL | independent RIA | $183M | 67% | 3 | $60.9M | 1 | 0 |
| Barrett Upton Capital Partners CRD 326104 | Lake Forest, IL | asset manager | $182M | 0.0% | 0 | n/a | 1 | 4 |
| L•••••••• C•••••• G••••• I••• CRD 325609 | Rolling Meadows, IL | independent RIA | $181M | 100% | 3 | $60.5M | 0 | 0 |
| C•• F•••••••• I••• CRD 277118 | Hennepin, IL | independent RIA | $181M | 100% | 5 | $36.1M | 2 | 0 |
| T• A•••• M••••••••• L•• CRD 167714 | Naperville, IL | independent RIA | $180M | 100% | 9 | $20.0M | 1 | 0 |
| M••••••• P••••••• W••••• S••••••••• L•• CRD 319408 | Skokie, IL | independent RIA | $179M | 98% | 3 | $59.6M | 2 | 0 |
| H••• T••••••• CRD 171391 | Chicago, IL | mixed wealth | $177M | 28% | 0 | n/a | 0 | 0 |
| M••••••••• A•••• M••••••••• I••• CRD 125735 | Danville, IL | independent RIA | $176M | 96% | 4 | $44.0M | 1 | 0 |
| B•••••••• C•••••• G•••• L••• CRD 123698 | Galena, IL | independent RIA | $174M | 100% | 3 | $57.9M | 2 | 0 |
| T••••• L••••• • W•••••••• L•• CRD 106713 | Elmhurst, IL | independent RIA | $173M | 54% | 2 | $86.6M | 2 | 0 |
| L•••••• A•••• M••••••••• I••• CRD 135791 | Woodridge, IL | independent RIA | $173M | 100% | 2 | $86.4M | 0 | 0 |
| N•••• S•••• I••••••••• C••••••••• L•• CRD 131763 | Wilmette, IL | independent RIA | $171M | 99% | 1 | $171M | 0 | 0 |
| P••••••••• F•••••••• G••••• L••••• CRD 123287 | Lincoln, IL | independent RIA | $170M | 88% | 4 | $42.6M | 0 | 0 |
| K••• C•••••• P••••••• CRD 283028 | Oak Brook, IL | independent RIA | $170M | 85% | 5 | $34.0M | 1 | 4 |
| S•••• C•••••• M••••••••• L•• CRD 154504 | Chicago, IL | other | $169M | 0.0% | 0 | n/a | 0 | 0 |
| L•••••••• P••••••• CRD 296911 | Schaumburg, IL | independent RIA | $168M | 97% | 3 | $56.2M | 1 | 0 |
| I••••••••• W••••• M••••••••• CRD 306411 | Barrington, IL | independent RIA | $168M | 99% | 3 | $55.9M | 7 | 0 |
| M•••••••• C•••••• M••••••••• CRD 164252 | Frankfort, IL | independent RIA | $167M | 86% | 2 | $83.3M | 0 | 0 |
| C•••••• G•••• I••••••••• CRD 111717 | Niles, IL | institutional | $167M | 0.0% | 0 | n/a | 0 | 0 |
| E••••••••• W••••• L•• CRD 329974 | Chicago, IL | independent RIA | $165M | 100% | 8 | $20.6M | 4 | 0 |
| P• W••••• M••••••••• G•••• CRD 173711 | East Moline, IL | independent RIA | $165M | 98% | 5 | $33.0M | 1 | 0 |
| M•••••• C•••••• A••••••• CRD 336708 | Chicago, IL | asset manager | $163M | 0.0% | 0 | n/a | 0 | 5 |
| S••••• I••••••••• A•••••••• I••• CRD 121794 | Homewood, IL | independent RIA | $163M | 93% | 3 | $54.2M | 1 | 0 |
| S•••••• A•••••••• L•• CRD 156331 | Chicago, IL | independent RIA | $161M | 100% | 4 | $40.2M | 1 | 0 |
| Z••••••••• CRD 148411 | Chicago, IL | independent RIA | $161M | 100% | 1 | $161M | 0 | 0 |
| S•• A•••• M••••••••• L•• CRD 311843 | Naperville, IL | independent RIA | $159M | 91% | 0 | n/a | 1 | 0 |
| V•••••• C•••••• M••••••••• CRD 313634 | Chicago, IL | asset manager | $158M | 0.0% | 0 | n/a | 0 | 9 |
| A••••• C•••••• M••••••••• L•• CRD 156261 | Northbrook, IL | independent RIA | $158M | 100% | 2 | $78.9M | 2 | 0 |
| W••••••••• A•••• M••••••••• L•• CRD 322300 | Chicago, IL | asset manager | $154M | 0.0% | 0 | n/a | 1 | 1 |
| S•••••••• A•••• M••••••••• L••••• CRD 137065 | Chicago, IL | asset manager | $152M | 0.0% | 0 | n/a | 0 | 1 |
| C••••••••• CRD 315145 | Chicago, IL | asset manager | $151M | 0.0% | 3 | $50.4M | 1 | 0 |
| O••• F•••••••• S•••••••• L•• CRD 282311 | Downers Grove, IL | independent RIA | $151M | 99% | 2 | $75.4M | 2 | 0 |
| L•••••• C•••••• A••••••• L•• CRD 335085 | Chicago, IL | asset manager | $150M | 0.0% | 0 | n/a | 0 | 0 |
| B•••••• W••••• C••••••••• L•• CRD 161020 | Spring Grove, IL | independent RIA | $148M | 96% | 2 | $74.0M | 0 | 0 |
| O•••••• C•••••• M••••••••• L•• CRD 132339 | Arlington Heights, IL | independent RIA | $147M | 100% | 1 | $147M | 1 | 0 |
| K•••• A•••• M••••••••• L•• CRD 143204 | Chicago, IL | independent RIA | $146M | 98% | 3 | $48.7M | 0 | 2 |
| M•••••• F•••••••• S••••••• I•• CRD 105367 | Wheaton, IL | asset manager | $145M | 0.0% | 0 | n/a | 0 | 0 |
| M•••••• F•••••••• N••••••• L•• CRD 302095 | Tinley Park, IL | independent RIA | $142M | 100% | 2 | $71.0M | 2 | 0 |
| C•••••• S••••• C•••••• L•• CRD 159684 | Downers Grove, IL | independent RIA | $141M | 98% | 2 | $70.5M | 0 | 0 |
| V••••• W•••••• L•• CRD 307270 | Chicago, IL | independent RIA | $141M | 100% | 6 | $23.4M | 6 | 0 |
| M••••• C•••••• R••• E••••• C••••• A•••••••• L•• CRD 336266 | Chicago, IL | asset manager | $140M | 0.0% | 0 | n/a | 1 | 0 |
| F••••• P•••••••• S••••••••• L•• CRD 314886 | Chicago, IL | independent RIA | $140M | 100% | 1 | $140M | 0 | 0 |
| T••• C•••••• M••••••••• L•• CRD 173124 | Chicago, IL | asset manager | $140M | 0.0% | 0 | n/a | 4 | 1 |
| C••••••••• A•••• M••••••••• L•• CRD 289928 | Chicago, IL | asset manager | $139M | 0.0% | 0 | n/a | 0 | 3 |
| M••• B••• A••••••• S•••••••• I••• CRD 107114 | Chicago, IL | independent RIA | $138M | 100% | 1 | $138M | 0 | 0 |
| L•••••• S••••••••• I••• CRD 28352 | Lake Bluff, IL | independent RIA | $138M | 100% | 15 | $9.2M | 10 | 0 |
| D••••••••• A•••• M••••••••• L•• CRD 152859 | Arlington Heights, IL | independent RIA | $137M | 100% | 1 | $137M | 0 | 0 |
| H•••••• C•••••• M••••••••• L•• CRD 132113 | Lake Forest, IL | independent RIA | $136M | 96% | 1 | $136M | 0 | 0 |
| C•••••• C•••••• M••••••••• A•••••••• L•• CRD 123483 | Lisle, IL | independent RIA | $135M | 98% | 20 | $6.8M | 3 | 0 |
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678 advisers match.