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 |
|---|---|---|---|---|---|---|---|---|
| Stone Island Financial Planning CRD 146765 | Naperville, IL | independent RIA | $134M | 100% | 2 | $67.0M | 1 | 0 |
| Blue Line Capital CRD 304024 | Chicago, IL | independent RIA | $132M | 79% | 7 | $18.8M | 2 | 0 |
| Versatile Capital Management L.L.C. CRD 173611 | Chicago, IL | independent RIA | $130M | 97% | 2 | $65.0M | 0 | 0 |
| P••••• V••••• W••••• M••••••••• CRD 145664 | Western Springs, IL | independent RIA | $129M | 98% | 2 | $64.7M | 0 | 0 |
| M••••• C••••••• L•• CRD 130516 | Northfield, IL | independent RIA | $129M | 100% | 2 | $64.6M | 0 | 0 |
| S•••••• S•••• F•••••••• I••• CRD 339402 | Schaumburg, IL | independent RIA | $129M | 100% | 2 | $64.5M | 0 | 0 |
| S•••••••• P•••••••• M••••••• CRD 155286 | Northfield, IL | independent RIA | $127M | 94% | 0 | n/a | 1 | 0 |
| B•• C•••••• M••••••••• L•• CRD 337570 | Northfield, IL | asset manager | $126M | 0.0% | 2 | $63.1M | 1 | 2 |
| S••••••••• W••••• P••••••• L•• CRD 293060 | Cary, IL | independent RIA | $126M | 100% | 4 | $31.5M | 2 | 0 |
| W••• F•••••••• A••••••• L•• CRD 146080 | Pekin, IL | independent RIA | $125M | 100% | 1 | $125M | 0 | 0 |
| M•••••• F•••••••• A••••••••• I••• CRD 158573 | Rockford, IL | independent RIA | $124M | 92% | 2 | $62.0M | 0 | 0 |
| D••• I••••••••• M••••••••• L•• CRD 149980 | Mount Prospect, IL | independent RIA | $124M | 100% | 1 | $124M | 0 | 0 |
| M•••••••• F•••••••• CRD 331546 | Virden, IL | independent RIA | $123M | 100% | 2 | $61.3M | 1 | 0 |
| A•••• F•••••••• S•••••••• L•• CRD 150713 | Downers Grove, IL | independent RIA | $122M | 100% | 4 | $30.6M | 0 | 0 |
| L••••••• W••••• M••••••••• L•• CRD 172519 | Glen Ellyn, IL | independent RIA | $122M | 88% | 5 | $24.4M | 3 | 5 |
| B••• H•••• C••••••• L•• CRD 141738 | Geneva, IL | independent RIA | $122M | 99% | 2 | $60.8M | 0 | 0 |
| R•••• A••••••• S•••••••• I••• CRD 123842 | Glenview, IL | independent RIA | $121M | 78% | 24 | $5.1M | 12 | 0 |
| P••••••••• A•••••••• I••• CRD 122768 | Rockford, IL | independent RIA | $121M | 98% | 3 | $40.5M | 0 | 0 |
| F•••••••• W••••• A••••••• CRD 286127 | Skokie, IL | independent RIA | $121M | 100% | 1 | $121M | 0 | 0 |
| A•• F•••••••• P••••••• CRD 297002 | Mount Prospect, IL | independent RIA | $121M | 100% | 2 | $60.5M | 2 | 0 |
| A••••••• P••••••• A••••••• G•••• I••• CRD 313101 | Naperville, IL | independent RIA | $120M | 100% | 2 | $60.2M | 1 | 0 |
| H••••••• A••••••••• CRD 108293 | H•••••••, IL | independent RIA | $120M | 100% | 0 | n/a | 0 | 0 |
| K• W••••• M••••••••• L•• CRD 332264 | Chicago, IL | independent RIA | $120M | 100% | 3 | $40.0M | 0 | 0 |
| C••••••••• F•••••••• CRD 310859 | Burr Ridge, IL | independent RIA | $120M | 98% | 3 | $39.9M | 2 | 0 |
| E••••• W••••• G••••• L•• CRD 307915 | Northfield, IL | independent RIA | $120M | 100% | 2 | $59.8M | 2 | 0 |
| Y•••••••• I••••••••• G••••• L•• CRD 149728 | Chicago, IL | independent RIA | $120M | 100% | 1 | $120M | 0 | 0 |
| M••••••• I••••••••• P••••••• N•••• A••••••• I••• CRD 107420 | Westmont, IL | asset manager | $119M | 0.0% | 1 | $119M | 0 | 0 |
| B••• S•• I••••••••• P•••••••• I••• CRD 145318 | Evanston, IL | independent RIA | $118M | 100% | 1 | $118M | 0 | 0 |
| K••••••• • A••••••••• L•• I• CRD 106701 | Barrington, IL | independent RIA | $118M | 94% | 2 | $58.8M | 0 | 0 |
| N•• V••••• I••••••••• M••••••••• L•• CRD 160247 | Highland Park, IL | asset manager | $116M | 0.0% | 0 | n/a | 0 | 2 |
| T•• C•••• G•••• CRD 327954 | Chicago, IL | asset manager | $115M | 0.0% | 0 | n/a | 0 | 1 |
| M••••• F• L•• CRD 169670 | Lincolnshire, IL | independent RIA | $113M | 100% | 2 | $56.4M | 1 | 0 |
| F•• W••••• M••••••••• L•• CRD 284020 | O'Fallon, IL | independent RIA | $113M | 100% | 6 | $18.8M | 0 | 0 |
| K•• W••••• M••••••••• I••• CRD 152002 | Geneva, IL | independent RIA | $112M | 100% | 3 | $37.4M | 0 | 0 |
| O•••••• C•••••• M••••••••• L•• CRD 269957 | Chicago, IL | other | $112M | 0.0% | 1 | $112M | 0 | 0 |
| B•••••••• I••••••••• A•••••••• L•• CRD 297290 | Evanston, IL | independent RIA | $111M | 99% | 3 | $37.0M | 0 | 0 |
| M••••• C•••••• R••••••• • M••••••••• L•• CRD 147139 | Chicago, IL | independent RIA | $110M | 76% | 2 | $55.2M | 0 | 0 |
| D••••• W••••• M••••••••• L•• CRD 313192 | Oak Brook, IL | independent RIA | $106M | 100% | 2 | $53.1M | 0 | 0 |
| F•••••••• D••••• S•••••• I••• CRD 286686 | Deer Park, IL | independent RIA | $106M | 100% | 3 | $35.2M | 0 | 0 |
| I•••••• S••••••••• I••• CRD 5611 | Highland Park, IL | mixed wealth | $94.2M | 41% | 19 | $5.0M | 5 | 0 |
| F•••••• C•••••• M••••••••• L•• CRD 312918 | Chicago, IL | asset manager | $89.3M | 0.0% | 0 | n/a | 0 | 2 |
| Q••••• W•••• A•••••••• L•• CRD 307477 | Chicago, IL | independent RIA | $87.3M | 89% | 31 | $2.8M | 6 | 0 |
| R••• S••••••• C•••••• A•••••••• L•• CRD 338780 | Chicago, IL | other | $61.0M | 0.0% | 0 | n/a | 0 | 1 |
| H••••••• S•••••••• W•••••• L•• CRD 338025 | Cary, IL | bank affiliated | $45.7M | 99% | 1 | $45.7M | 1 | 0 |
| M••••••• V••••• • T••••• I•• CRD 106160 | Chicago, IL | independent RIA | $42.4M | 86% | 0 | n/a | 0 | 0 |
| C••• CRD 322813 | Naperville, IL | asset manager | $26.8M | 0.0% | 0 | n/a | 3 | 0 |
| T••• P•••• C••••••• L•• CRD 286089 | Oak Brook, IL | independent RIA | $25.0M | 100% | 1 | $25.0M | 0 | 0 |
| R•• A•••••••• L•• CRD 119813 | Chicago, IL | asset manager | $21.0M | 0.0% | 0 | n/a | 0 | 2 |
| R•••••••• C•••••• P•••••••• L•• CRD 328320 | Chicago, IL | asset manager | $16.2M | 0.0% | 0 | n/a | 0 | 1 |
| G•••••••• L•• CRD 286297 | Chicago, IL | asset manager | $12.6M | 0.0% | 2 | $6.3M | 0 | 0 |
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678 advisers match.