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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

M••••• C•••••• A•••••••• I•••

CRD 112169

SKOKIE, IL

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Search this name across graphsid dfx:ria:534e4913-1388-2a3d-545c-9897ad038e3e

Data as of Feb 25, 2016 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:49 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 22, 2012 to Feb 25, 2016
5 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: $7.6BItem 5.F on the latest filing (2016-02-25); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $7.5B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

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
G•••••••• M••••••• A•	CHIEF FINANCIAL OFFICER	Na	yes	12/2005	Mar 22, 2012	Feb 25, 2016
M•••••• A•••••• R•	PRESIDENT, DIRECTOR	E	yes	08/1996	Mar 22, 2012

Offices

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

City	State	Country	Employees	Also broker-dealer
Austin	TX	United States	n/a	no

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

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
2015	$7.6B	$6.3B	20.6%	$5.1B	14.1%	25	25	n/a	n/a

Relationships

Controls (3)

← M•••••• A•••••• R•OwnerPRESIDENT, DIRECTOR, ownership code E, individual
Mar 22, 2012 to presentfactForm ADV
← G•••••••• M••••••• A•OwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 22, 2012 to presentfactForm ADV
← N••••••••• J•••OwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Mar 22, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:534e4913-1388-2a3d-545c-9897ad038e3e
First observed: Mar 22, 2012
Last observed: Feb 25, 2016 128 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.