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M••••• • A••••••••• I••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM 100m 1b

M••••• • A••••••••• I••

CRD 106588

MOKENA, IL

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Data as of Apr 17, 2019 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 9, 2012 to Apr 17, 2019
14 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $275M••• Locked
Discretionary RAUM: $251M
Private client RAUM: $265Mderived••• Locked
Private client share: 96%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M•••••• T••••••• C•••••	CHIEF COMPLIANCE OFFICER	E	yes	10/2004	Mar 9, 2012	Apr 17, 2019
W•••••• T•••••• E•••••	TREASURER/SECRETARY	Na	no	01/1981	Mar 9, 2012	Apr 17, 2019

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$275M	$275M	0.2%	$210M	9.5%	5	4	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
A••••••••• W••••• P•••••••	3	Aug 2, 2019	Jun 17, 2019	MOKENA, IL	Firm absorbed	RIA to RIA	100.0%

Relationships

Owns (1)

← W•••••• T•••••• E•••••OwnerTREASURER/SECRETARY, ownership code NA, individual
Mar 9, 2012 to presentfactForm ADV

Controls (1)

← M•••••• T••••••• C•••••OwnerCHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 9, 2012 to presentfactForm ADV

Registered with (3)

← R••• C•••••• G••••••••Advisorregistration: previous registration
May 13, 2011 to Aug 2, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 9, 2012
Last observed: Apr 17, 2019 90 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.