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 |
|---|---|---|---|---|---|---|---|---|
| Rcm Wealth Advisors CRD 153641 | Chicago, IL | independent RIA | $389M | 53% | 12 | $32.4M | 4 | 0 |
| Vermillion Financial Advisors, Inc. CRD 119239 | South Barrington, IL | independent RIA | $387M | 93% | 5 | $77.3M | 1 | 0 |
| Squadron Capital Management LLC CRD 334296 | Oak Brook, IL | asset manager | $386M | 0.0% | 0 | n/a | 1 | 1 |
| C••••• F•••••••• G••••• I••• CRD 301025 | Barrington, IL | independent RIA | $382M | 98% | 5 | $76.4M | 2 | 0 |
| U••••• W••••• S••••••••• CRD 323994 | Burr Ridge, IL | independent RIA | $382M | 89% | 5 | $76.3M | 0 | 0 |
| B•••• • C• I•• CRD 104735 | Chicago, IL | asset manager | $380M | 1.0% | 1 | $380M | 0 | 0 |
| S•••• C•••••• P••••••• G•• L•• CRD 162073 | Evanston, IL | asset manager | $379M | 0.0% | 0 | n/a | 0 | 1 |
| P••••••• P••••••• A••••••• L•• CRD 317720 | Chicago, IL | asset manager | $378M | 0.0% | 0 | n/a | 0 | 3 |
| P••••••• A••••••••• S••••••••• CRD 333671 | Chicago, IL | asset manager | $378M | 0.0% | 0 | n/a | 0 | 1 |
| O•• W••••• A••••••• L•• CRD 148832 | Northbrook, IL | independent RIA | $374M | 100% | 3 | $125M | 1 | 0 |
| H••••• • C•••••• CRD 311212 | Chicago, IL | asset manager | $367M | 0.0% | 0 | n/a | 0 | 3 |
| C•••••• W••••• M••••••••• I••• CRD 112271 | C••••••, IL | independent RIA | $366M | 96% | 5 | $73.1M | 4 | 0 |
| S••••• C•••••• M••••••••• I•• CRD 122941 | Lisle, IL | independent RIA | $364M | 88% | 2 | $182M | 0 | 0 |
| W••••••• W••••• M••••••••• CRD 166124 | Naperville, IL | independent RIA | $363M | 100% | 4 | $90.8M | 0 | 1 |
| D••••••• C•••••• M••••••••• L•• CRD 155473 | Chicago, IL | asset manager | $361M | 0.0% | 0 | n/a | 0 | 0 |
| B••••••• F•••••••• A•••••••• L•• CRD 158418 | Savoy, IL | independent RIA | $358M | 100% | 7 | $51.2M | 0 | 0 |
| B•••••• A•••• M••••••••• L•• CRD 330362 | Wheaton, IL | asset manager | $346M | 0.0% | 1 | $346M | 0 | 0 |
| E••••••••• A•••••••• I••• CRD 290030 | Oak Brook, IL | independent RIA | $342M | 93% | 2 | $171M | 1 | 0 |
| L••• B•••• W••••• M••••••••• L•• CRD 170348 | Naperville, IL | independent RIA | $340M | 94% | 4 | $85.1M | 1 | 3 |
| A•• C•••••• M••••••••• CRD 109784 | Chicago, IL | independent RIA | $340M | 91% | 7 | $48.5M | 4 | 0 |
| R•••••••• P••••••• L• CRD 320667 | Chicago, IL | asset manager | $339M | 0.0% | 0 | n/a | 0 | 3 |
| L•••• G•••• F•••••••• A•••••••• L•• CRD 326880 | Freeport, IL | independent RIA | $338M | 96% | 7 | $48.2M | 2 | 0 |
| N•• E•••••• R••••••• • M••••••••• I••• CRD 110739 | Chicago, IL | independent RIA | $337M | 98% | 3 | $112M | 0 | 0 |
| J•••••• F•••••••• G••••• I••• CRD 123565 | Buffalo Grove, IL | independent RIA | $336M | 99% | 5 | $67.3M | 0 | 0 |
| C••••• S•••••••• W••••• L•• CRD 152715 | Chicago, IL | independent RIA | $336M | 100% | 2 | $168M | 1 | 0 |
| N•••••••• B••••• L••• A••••••• E••••• I• L• CRD 337854 | Chicago, IL | asset manager | $335M | 0.0% | 0 | n/a | 1 | 1 |
| D••••••••• • A••••••••• L•• CRD 108092 | Loves Park, IL | independent RIA | $333M | 85% | 3 | $111M | 0 | 0 |
| C•••••• G•••• L•• CRD 285865 | Chicago, IL | asset manager | $331M | 0.0% | 0 | n/a | 0 | 6 |
| T•• N•••••• G••••• I••• CRD 118419 | Lincolnwood, IL | independent RIA | $331M | 100% | 3 | $110M | 0 | 0 |
| B••••••• A•••• M••••••••• L•• CRD 120110 | Northfield, IL | mixed wealth | $331M | 43% | 12 | $27.6M | 0 | 0 |
| P••••• A••••••• G••••• L•• CRD 172252 | Highland, IL | independent RIA | $330M | 99% | 4 | $82.4M | 0 | 0 |
| B•••••••• I••••••••• A••••••• L•• CRD 159705 | Chicago, IL | independent RIA | $329M | 79% | 3 | $110M | 1 | 0 |
| K••••• I••••••••• I•• CRD 105665 | Northfield, IL | independent RIA | $328M | 99% | 2 | $164M | 1 | 0 |
| L•••• W••••• M••••••••• L••• CRD 282423 | Frankfort, IL | independent RIA | $327M | 100% | 2 | $164M | 1 | 0 |
| H•• A•••• M••••••••• L•••• CRD 111705 | Chicago, IL | asset manager | $326M | 0.0% | 0 | n/a | 0 | 2 |
| H•• I••••••••• L•• CRD 307372 | Chicago, IL | asset manager | $326M | 0.0% | 0 | n/a | 0 | 2 |
| V•••••••• I••••••••• CRD 335309 | Hinsdale, IL | mixed wealth | $322M | 25% | 4 | $80.6M | 1 | 0 |
| M••••• M•••• M••••••••• I•• CRD 105974 | Northbrook, IL | independent RIA | $317M | 98% | 4 | $79.3M | 1 | 0 |
| O•• V•••••••• L•• CRD 161160 | Chicago, IL | asset manager | $316M | 0.0% | 0 | n/a | 1 | 7 |
| K••••• F••••••••• L•• CRD 123524 | Des Plaines, IL | independent RIA | $316M | 72% | 4 | $79.0M | 0 | 1 |
| T•• F••••• F••• L•• CRD 313973 | Chicago, IL | asset manager | $314M | 0.0% | 0 | n/a | 0 | 0 |
| C•• F•••••••• P•••••••• I••• CRD 110960 | Chicago, IL | independent RIA | $314M | 100% | 4 | $78.5M | 1 | 0 |
| W••••••• F•••••••• CRD 166746 | Elmhurst, IL | independent RIA | $313M | 100% | 11 | $28.4M | 3 | 0 |
| M••••• W••••• M••••••••• I••• CRD 173076 | Schaumburg, IL | independent RIA | $312M | 92% | 9 | $34.7M | 1 | 0 |
| T•••• H•••••••• L•• CRD 292148 | Chicago, IL | asset manager | $312M | 0.0% | 0 | n/a | 0 | 3 |
| T••••••• S•••••••• P••••••• CRD 333815 | Chicago, IL | asset manager | $305M | 0.0% | 0 | n/a | 1 | 3 |
| E•• C•••••• A•••••••• L•• CRD 169296 | Bannockburn, IL | asset manager | $305M | 0.0% | 0 | n/a | 0 | 0 |
| M••• I••••••••• S••••••••• I••• CRD 17643 | Northfield, IL | independent RIA | $303M | 98% | 8 | $37.8M | 1 | 0 |
| A••••• F•••••••• G••••• I••• CRD 33065 | Chicago, IL | other | $302M | 4.6% | 2 | $151M | 0 | 0 |
| C•••••• I••••••••• M••••••••• L•• CRD 327810 | Oakbrook Terrace, IL | asset manager | $302M | 0.0% | 0 | n/a | 0 | 127 |
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678 advisers match.