DFX Intelligence

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

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RIA / WealthRegistered adviserAsset managerSEC registeredRAUM 100m 1b

A••••• A•••• A••••••• I••

CRD 112441

HOMETOWN, IL

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Data as of Aug 10, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 12:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 10
On other graphs: 0
Observed: Mar 30, 2012 to Aug 10, 2026
19 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: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0
Regulatory AUM: $262M••• Locked
Discretionary RAUM: $262M
Private client RAUM: $0derived••• Locked
Private client share: 0%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
C•••••• M•••••••••	Director	Na	yes	12/1999	Mar 30, 2012	Mar 12, 2024
M••••• M•••••••• F•••••	Director	Na	yes	09/2000	Mar 30, 2012	Mar 12, 2024

Regulatory AUM by fiscal year

••• Locked

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

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	1	-1	n/a	0	0	0	0	1

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$262M	$163M	60.4%	$160M	17.8%	3	3	0	0

Relationships

Registered with (1)

← M•••••• N••••Advisorregistration: previous registration
Feb 22, 2021 to Dec 31, 2025factForm ADV

Controls (8)

← O••••• B•••••OwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Mar 30, 2012 to Mar 12, 2024factForm ADV
← S••••• G••••••OwnerDIRECTOR, ownership code NA, individual
Mar 30, 2012 to Mar 12, 2024factForm ADV
← C•••••• M•••••••••OwnerDIRECTOR, ownership code NA, individual

Dated events

4 bookkeeping events (roster, classification and holdings changes) folded below

Order

Occurred
10 Aug 2026
Ria principal change2 events
A••••• A•••• A••••••• I••: ria principal change, 2 events, on 10 Aug 2026
- ••• Locked
- ••• Locked
Occurred
31 Dec 2025
Advisor changed firm
••• Locked
Form ADV
Occurred
12 Mar 2024
Control person left
••• Locked
Form ADV
Occurred
22 Sep 2022
Control person left
••• Locked
Form ADV
Occurred
22 Sep 2022
Control person joined
••• Locked
Form ADV

Show 4 bookkeeping events

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 30, 2012
Last observed: Aug 10, 2026 45 days 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.

All 14 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Feb 13, 2015	$64.0M	$64.0M	2	1	n/a	n/a	n/a
2013	Mar 26, 2014	$56.0M	$56.0M	2	1	n/a	n/a	n/a
2012	Mar 27, 2013	$42.0M	$42.0M	2	1	n/a	n/a	n/a
2011	Mar 30, 2012	$39.6M	$39.6M	n/a	n/a	n/a	n/a	n/a