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.
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 |
|---|---|---|---|---|---|---|---|---|
| Castleark Alternatives, LLC CRD 288893 | Chicago, IL | asset manager | $8.2M | 0.0% | 0 | n/a | 0 | 1 |
| Access Softek Advisory Services CRD 299800 | Naperville, IL | independent RIA | $7.4M | 100% | 1 | $7.4M | 4 | 0 |
| Forester Capital Management Ltd CRD 109474 | Libertyville, IL | asset manager | $3.5M | 0.0% | 0 | n/a | 0 | 0 |
| W•••• CRD 330063 | Chicago, IL | independent RIA | $2.5M | 100% | 0 | n/a | 0 | 0 |
| M• A••••••• CRD 249787 | Chicago, IL | independent RIA | $633,573 | 100% | 9 | $70,397 | 0 | 0 |
| P••• D•••••• A•••••••• L•• CRD 312983 | Chicago, IL | independent RIA | $150,000 | 100% | 0 | n/a | 0 | 0 |
| Z•••• I••••••••• L•• CRD 333798 | Chicago, IL | independent RIA | $2 | 100% | 4 | $1 | 0 | 0 |
| S•••••••• C•••••• I••••••••• A••••••• I•• CRD 107772 | Lombard, IL | no RAUM | $0 | n/a | 0 | n/a | 0 | 0 |
| H••••• M••• I••••••••• I••• CRD 11643 | Springfield, IL | no RAUM | $0 | n/a | 74 | n/a | 0 | 0 |
| I••••••••• C••••••••• S•••••••• L•• CRD 122064 | Lombard, IL | no RAUM | $0 | n/a | 2 | n/a | 0 | 0 |
| T•••••• F•••••••• C••••••• I••• CRD 123037 | Wheaton, IL | no RAUM | $0 | n/a | 21 | n/a | 0 | 0 |
| B••••••••• W••••• A•••••••• L•• CRD 137658 | Wheaton, IL | no RAUM | $0 | n/a | 241 | n/a | 172 | 0 |
| C••••• I••••••••• M••••••••• L•• CRD 165436 | Schamburg, IL | no RAUM | $0 | n/a | 11 | n/a | 4 | 0 |
| E••••••••• U• CRD 169439 | Chicago, IL | no RAUM | $0 | n/a | 0 | n/a | 0 | 0 |
| C•••• E••• L•• CRD 304389 | Chicago, IL | no RAUM | $0 | n/a | 0 | n/a | 0 | 0 |
| M••••••• CRD 307739 | Chicago, IL | no RAUM | $0 | n/a | 2 | n/a | 0 | 0 |
| M•••••• I••••••••• I••••••••• M••••••••• I••• CRD 319065 | Chicago, IL | no RAUM | $0 | n/a | 0 | n/a | 0 | 0 |
| C•••••• P•••••• E••••• L•• CRD 326913 | Naperville, IL | no RAUM | $0 | n/a | 0 | n/a | 1 | 1 |
| P•• V•••••• A••••••• L•• CRD 330069 | Chicago, IL | no RAUM | $0 | n/a | 0 | n/a | 0 | 0 |
| B••• O•• R••• A••••• A••••••• L•• CRD 336832 | Chicago, IL | no RAUM | $0 | n/a | 0 | n/a | 10 | 0 |
| B••••• CRD 337846 | Chicago, IL | no RAUM | $0 | n/a | 0 | n/a | 0 | 0 |
| I••••• A•••• M••••••••• CRD 338911 | Chicago, IL | no RAUM | $0 | n/a | 4 | n/a | 1 | 0 |
| R••••••• C•••••• A•••••••• L•• CRD 339622 | Chicago, IL | no RAUM | $0 | n/a | 0 | n/a | 0 | 0 |
| G•• G•••••••• W••••• L••• CRD 340054 | Chicago, IL | no RAUM | $0 | n/a | 0 | n/a | 2 | 0 |
| M••••• C•••••• A•••• F•••••• A•••••••• L•• CRD 341970 | Chicago, IL | no RAUM | $0 | n/a | 0 | n/a | 1 | 0 |
| R••••••••• F•••••••• P•••••••• L•• CRD 342696 | Oak Brook, IL | no RAUM | $0 | n/a | 4 | n/a | 1 | 0 |
| A•• S••••••••• L•• CRD 4138 | Chicago, IL | no RAUM | $0 | n/a | 0 | n/a | 1 | 0 |
| C••••• P•••••• A•••••••• L•• CRD 325238 | Rockford, IL | no RAUM | n/a | n/a | 6 | n/a | 0 | 0 |
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