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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

MACK INVESTMENT SECURITIES, INC.

CRD 17643

NORTHFIELD, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:07c35168-16e6-5cfe-7335-707cbd74da26

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 3
On other graphs: 0
Observed: Mar 27, 2012 to Mar 31, 2026
37 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=8.0
Regulatory AUM: $303MItem 5.F on the latest filing (2026-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $215M
Private client RAUM: $296MderivedItem 5.D individuals plus high net worth individuals
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 8
RAUM per advisor: $37.8Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 8
Advisory employees: 8
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 1,017
Individual clients: 379
High net worth clients: 282
SEC number: 801-29570
CRD: 17643
Filings on the tape: 37
First filed: Mar 27, 2012
Latest filed: Mar 31, 2026
Organised: Corporation, IL
Website: macktracks.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
STEPHEN WALTER MACK	Certified Financial Planner	NORTHFIELD, IL	28	45	1	yes
JOHN ANTHONY KELTY	Certified Financial Planner	NORTHFIELD, IL	28	37	1	yes
STEVEN BRIAN MILSTEIN	n/a	LINCOLNSHIRE, IL	28	34	n/a	yes
JOHN RUSSELL BUDZIAK	n/a	NORTHFIELD, IL \| PALATINE, IL	16	34	1	yes
KEVIN EDWARD MACK	n/a	NORTHFIELD, IL	14	20	n/a	yes
MICHAEL STEPHEN MACK	Certified Financial Planner	NORTHFIELD, IL	6	18	2	yes
SHELDON DAVID KAIZ	Certified Financial Planner	NORTHFIELD, IL	0	38	n/a	yes

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
MACK, STEPHEN WALTER	TRUSTEE IS PRESIDENT AND CCO	E	yes	01/1986	Mar 27, 2012	May 10, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
RPI, INC.	n/a	State registered	n/a	Y	no	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
OAK BROOK	IL	United States	1	yes

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 31, 2026	$303M	$215M	8	8	1	n/a	n/a
2024	Mar 31, 2025	$264M	$191M	8	8	1	n/a	n/a
2023	Mar 30, 2024	$223M	$171M	7	3	1	n/a	n/a
2022	Mar 31, 2023	$203M	$154M	7	3	1	n/a	n/a
2021	Mar 31, 2022	$201M	$152M	9	3	1	n/a	n/a
2020	Mar 30, 2021	$186M	$147M	9	3	1	n/a	n/a
2019	Mar 27, 2020	$186M	$131M	7	2	1	n/a	n/a
2018	Mar 28, 2019	$163M	$111M	7	2	1	n/a	n/a
2017	Mar 28, 2018	$165M	$137M	7	2	1	n/a	n/a
2016	Mar 24, 2017	$143M	$116M	7	2	n/a	n/a	n/a
2015	Mar 28, 2016	$125M	$102M	7	2	n/a	n/a	n/a
2014	Mar 31, 2015	$134M	$97.0M	7	2	n/a	n/a	n/a
2013	Mar 26, 2014	$123M	$89.9M	7	2	n/a	n/a	n/a
2012	Mar 25, 2013	$113M	$77.0M	7	3	n/a	n/a	n/a
2011	Mar 27, 2012	$99.4M	$65.8M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$303M	$264M	14.8%	$203M	14.1%	8	8	1	1

Relationships

Registered with (12)

← SHELDON DAVID KAIZAdvisorregistration: current employment
Aug 24, 2026 to presentfactForm ADV
← MICHAEL STEPHEN MACKAdvisorregistration: previous registration
Feb 15, 2008 to Jun 7, 2016factForm ADV
← KEVIN EDWARD MACKAdvisorregistration: current employment
Aug 1, 2012 to presentfactForm ADV
← JOHN RUSSELL BUDZIAKAdvisorregistration: current employment
Jun 22, 2010 to presentfactForm ADV
← STEPHEN WALTER MACKAdvisorregistration: current employment
Jul 20, 1998 to presentfactForm ADV
← NORMAN PETER CHIODRASAdvisorregistration: current employment
Jul 20, 1998 to presentfactForm ADV
← JOHN ANTHONY KELTYAdvisorregistration: current employment
Jul 20, 1998 to presentfactForm ADV
← STEVEN BRIAN MILSTEINAdvisorregistration: current employment
Jul 20, 1998 to presentfactForm ADV
← EDWARD WALTER GJERTSEN IIAdvisorregistration: previous registration
Jul 20, 1998 to Jul 1, 2020factForm ADV
← MONICA PIZANOAdvisorregistration: previous registration
Jan 15, 2013 to Mar 15, 2013factForm ADV
← JAMES ALAN ISSELAdvisorregistration: previous registration
Jan 2, 2004 to Dec 16, 2011factForm ADV
← ANN MARIE MARIANI-ISSELAdvisorregistration: previous registration
Jan 2, 2009 to Dec 1, 2011factForm ADV

Affiliated with (1)

→ RETIREMENT PLANNERS, INC.Registered adviserother investment adviser, control
factForm ADV

Controls (1)

← MACK, STEPHEN WALTEROwnerTRUSTEE IS PRESIDENT AND CCO, ownership code E, individual
Mar 27, 2012 to May 10, 2024factForm ADV

Dated events

Occurred
Mar 31, 2022
Control person left
Brian Joseph Petraitis (Chief Compliance Officer) no longer on Schedule A of Mack Investment Securities, Inc. (listed 2021-11-05, absent 2022-03-31)
Form ADVobserved 6 days ago
Occurred
Mar 30, 2021
Control person joined
Brian Joseph Petraitis (Chief Compliance Officer) appeared on Schedule A of Mack Investment Securities, Inc.
Form ADVobserved 6 days ago
Occurred
Aug 14, 2020
Control person left
Edward Walter Ii Gjertsen (Vice-President) no longer on Schedule A of Mack Investment Securities, Inc. (listed 2020-06-30, absent 2020-08-14)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:07c35168-16e6-5cfe-7335-707cbd74da26
First observed: Mar 27, 2012
Last observed: Mar 31, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

MACK INVESTMENT SECURITIES, INC.

CRD 17643

NORTHFIELD, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:07c35168-16e6-5cfe-7335-707cbd74da26

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:40 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

STEPHEN WALTER MACK

Certified Financial Planner

NORTHFIELD, IL

yes

JOHN ANTHONY KELTY

Certified Financial Planner

NORTHFIELD, IL

yes

STEVEN BRIAN MILSTEIN

n/a

LINCOLNSHIRE, IL

n/a

yes

JOHN RUSSELL BUDZIAK

n/a

NORTHFIELD, IL | PALATINE, IL

yes

KEVIN EDWARD MACK

n/a

NORTHFIELD, IL

n/a

yes

MICHAEL STEPHEN MACK

Certified Financial Planner

NORTHFIELD, IL

yes

SHELDON DAVID KAIZ

Certified Financial Planner

NORTHFIELD, IL

n/a

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

MACK, STEPHEN WALTER

TRUSTEE IS PRESIDENT AND CCO

yes

01/1986

Mar 27, 2012

May 10, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

RPI, INC.

n/a

State registered

n/a

City

State

Country

Employees

Also broker-dealer

OAK BROOK

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 31, 2026

$303M

$215M

n/a

2024

Mar 31, 2025

$264M

$191M

n/a

2023

Mar 30, 2024

$223M

$171M

n/a

2022

Mar 31, 2023

$203M

$154M

n/a

2021

Mar 31, 2022

$201M

$152M

n/a

2020

Mar 30, 2021

$186M

$147M

n/a

2019

Mar 27, 2020

$186M

$131M

n/a

2018

Mar 28, 2019

$163M

$111M

n/a

2017

Mar 28, 2018

$165M

$137M

n/a

2016

Mar 24, 2017

$143M

$116M

n/a

2015

Mar 28, 2016

$125M

$102M

n/a

2014

Mar 31, 2015

$134M

$97.0M

n/a

2013

Mar 26, 2014

$123M

$89.9M

n/a

2012

Mar 25, 2013

$113M

$77.0M

n/a

2011

Mar 27, 2012

$99.4M

$65.8M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$303M

$264M

14.8%

$203M

14.1%