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CRD 306903
MORTON, IL
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| J••• M••• C••••••• | Certified Financial Planner | MORTON, IL | 6 | 34 | 2 | no |
| A••••• D•••• C••••••• | n/a | AVON, CO | MORTON, IL | BOURBONNAIS, IL | 6 | 12 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| C•••••••• J•••• M••• | MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER | E | yes | 12/2019 | Dec 24, 2019 | Nov 4, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| C••••••• I••• | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Avon | Co | United States | 2 | no |
| Bloomngton | IL | United States | 1 | no |
| Maumee | Oh | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 6 | 1 | 5 | 4.3% | 1 | 0 | 0 | 13 | 2 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $800M | $562M | 42.4% | $251M | 47.2% | 36 | 28 | 7 | 4 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| A• W••••• M••••••••• L•• | 2 | May 18, 2026 | Apr 7, 2026 | MORTON, IL | Team lift out | Ibd to RIA | 0.5% |
| I•••••••• F•••••••• P•••••••• I••• | 2 | Mar 20, 2025 | Mar 20, 2025 |
| no |
| J•••• H••••• A••••••• | Certified Financial Planner | MORTON, IL | 6 | 11 | 2 | no |
| C••••• C••••••• | n/a | MORTON, IL | 5 | 10 | n/a | no |
| A••••• M•••••• P•••• | n/a | MORTON, IL | 4 | 10 | 4 | no |
| N••••• A••••• G••••• | Certified Financial Planner | MORTON, IL | AVON, CO | 4 | 18 | 1 | no |
| G•••• C•••••••• W•••••••• | Certified Financial Planner | MORTON, IL | AVON, CO | 4 | 34 | 1 | no |
| C•••• D•••• R•••••• | Certified Financial Planner | MORTON, IL | Dallas, TX | 3 | 39 | 2 | no |
| D•••• L••• D••••• | n/a | MORTON, IL | Abilene, TX | 2 | 11 | 2 | no |
| N••• D•••• W••••••• | n/a | MORTON, IL | 1 | 12 | n/a | no |
| N••••• A••••• M•••• | n/a | Pottersville, NY | MORTON, IL | 1 | 13 | n/a | no |
| J•••• M•••••• F••••••• | n/a | Maumee, OH | MORTON, IL | 1 | 15 | 5 | no |
| E•••• E•••••••• E••••••• | n/a | Roanoke, VA | MORTON, IL | 1 | 12 | 1 | no |
| M•••••• B••••• W•••• | n/a | Roanoke, VA | MORTON, IL | 1 | 11 | 1 | no |
| B•••• W•••• B•••• | n/a | MORTON, IL | Roanoke, VA | 1 | 24 | 1 | no |
| O••• R••• C•••••• | n/a | MORTON, IL | Franklin, OH | 0 | 13 | 1 | no |
| R••• W•••••• H••••• | n/a | Littleton, CO | MORTON, IL | 0 | 13 | n/a | no |
| D••••• A••••• F•••••••• | Certified Financial Planner|Chartered Financial Consultant | MORTON, IL | Hanna City, IL | 0 | 35 | 2 | no |
| J•••• D•••• F••••••••• | n/a | Roanoke, VA | MORTON, IL | 0 | 10 | n/a | no |
| T•••• B•••••• | n/a | MORTON, IL | Maumee, OH | 0 | 14 | 1 | no |
| R•••••• E•••• W••••••• | Chartered Financial Consultant | Morton, IL | MORTON, IL | 0 | 30 | 5 | no |
| R••••• A••• P•••••••• | Certified Financial Planner | MORTON, IL | 0 | 15 | 5 | no |
| C••••••••• S•••• W••••• | n/a | MORTON, IL | Greenville, SC | 0 | 22 | 3 | no |
| $800M |
| $775M |
| 36 |
| 15 |
| 6 |
| n/a |
| n/a |
| 2024 | Mar 19, 2025 | $562M | $544M | 28 | 15 | 4 | n/a | n/a |
| 2023 | Feb 19, 2024 | $411M | $403M | 23 | 10 | 3 | n/a | n/a |
| 2022 | Mar 3, 2023 | $251M | $251M | 16 | 7 | 2 | n/a | n/a |
| 2021 | Feb 3, 2022 | $243M | $243M | 11 | 5 | 1 | n/a | n/a |
| 2020 | Mar 3, 2021 | $197M | $197M | 9 | 3 | 1 | n/a | n/a |
| ROANOKE, VA |
| Team lift out |
| Other |
| 66.7% |
| R•••• M••••••• P••••••• G••••• I•• | 2 | Aug 12, 2022 | Aug 15, 2022 | AVON, CO | Team lift out | Other | 100.0% |
| A• W••••• M••••••••• L•• | 3 | Jun 30, 2020 | Feb 3, 2020 | BLOOMINGTON, IL | Team lift out | RIA to RIA | 0.9% |