DFX Intelligence

T••• P•••• C••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM under $100M

T••• P•••• C••••••• L••

CRD 286089

OAK BROOK, IL

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Data as of May 5, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Feb 26, 2019 to May 5, 2026
18 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: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $25.0M••• Locked
Discretionary RAUM: $25.0M
Private client RAUM: $25.0Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $25.0Mderived

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
P••••• C••••••••• M••••••	MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER	E	yes	11/2016	Feb 26, 2019	May 28, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S••••••••• W••••• M••••••••• L••	n/a	Independent wealth	$283M	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

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	0	0	0.0%	0	0	0	0	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$25.0M	$30.0M	-16.8%	$18.8M	10.0%	2	2	0	0

Relationships

Affiliated with (2)

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

Registered with (1)

← C••••••••• M•••••• P••••Advisorregistration: current employment
Jan 3, 2017 to presentfactForm ADV

Controls (1)

Dated events

Order

Occurred
26 Feb 2019
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 26, 2019
Last observed: May 5, 2026 4 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.