DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

M•• I••••••••• M••••••••• I••

CRD 105181

HINSDALE, IL

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Search this name across graphsid dfx:ria:47c5d526-c814-a5fe-7821-117734aa7240

Data as of Nov 21, 2022 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 4
On other graphs: 0
Observed: Mar 29, 2012 to Nov 21, 2022
27 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: $39.7M••• Locked
Discretionary RAUM: $39.7M
Private client RAUM: $5.3Mderived••• Locked
Private client share: 13%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••••• P••••• F••••• T••••	Trust	E	yes	02/2006	Mar 29, 2012	Nov 21, 2022
P•••••• D••••• W••••	Trustee	E	yes	02/2006	Mar 29, 2012	Nov 21, 2022

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M•• W••••• M••••••••• L••	n/a	Independent wealth	$234M	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2021	$39.7M	$75.5M	-47.4%	$260M	-46.5%	3	3	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
M•• W••••• M••••••••• L••	2	Dec 31, 2022	Aug 22, 2019	HINSDALE, IL	Team lift out	Other	100.0%

Relationships

Affiliated with (1)

→ M•• W••••• M••••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV

Owns (2)

← S••••••••• G•••• J•••••OwnerCCO, ownership code NA, individual
Oct 16, 2018 to presentfactForm ADV
← P•••••• M••••••• D•••••OwnerSENIOR VICE PRESIDENT, ownership code B, individual
Mar 29, 2012 to presentfactForm ADV

Controls (2)

Dated events

Occurred
Dec 31, 2022
Team lift-out
••• Locked
Form ADVobserved 7 days ago
2 advisors
Occurred
Dec 31, 2022
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Dec 31, 2022
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 11, 2021
Regulatory AUM changed

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:47c5d526-c814-a5fe-7821-117734aa7240
First observed: Mar 29, 2012
Last observed: Nov 21, 2022 46 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.