DFX Intelligence

P•••••• S•• F•••••••• G••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

P•••••• S•• F•••••••• G••••

P•••••• S•• F•••••••• G••••, LLC, CRD 171672

LAKE BLUFF, IL

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Search this name across graphsid dfx:ria:7223e0aa-c731-4af9-9fff-1df465222177

Data as of Aug 20, 2025 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:31 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 9
On other graphs: 0
Observed: Jun 13, 2014 to Aug 20, 2025
31 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: $302M••• Locked
Discretionary RAUM: $297M
Private client RAUM: $279Mderived••• Locked
Private client share: 92%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••• M••••••• R••••••	SOLE SHAREHOLDER	E	yes	01/2014	Jun 27, 2014	Dec 2, 2024
C••••• M••••••• R••••••	Principal	Na	yes	01/2014	Jun 27, 2014	Dec 2, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024

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	3	-3	n/a	0	0	0	0	4

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	$302M	$276M	9.6%	$284M	2.1%	5	6	1	2

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
L•• F•••••••• L••	3	Nov 12, 2025	Oct 14, 2025	LAKE BLUFF, IL	Firm absorbed	RIA to ibd	100.0%

Relationships

Registered with (4)

← M••• J•••• L•••••••••Advisorregistration: previous registration
Jun 30, 2014 to Nov 12, 2025factForm ADV
← M•••••• R•••••• C••••Advisorregistration: previous registration
Jul 10, 2014 to Nov 12, 2025factForm ADV
← B•••••• H•••••••••Advisorregistration: previous registration
Jul 22, 2025 to Nov 12, 2025factForm ADV
← E•••••• A••••• V•••••

Dated events

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

Occurred
Nov 12, 2025
Firm absorbed
••• Locked
Form ADVobserved 7 days ago
3 advisors
Occurred
Nov 12, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Nov 12, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7223e0aa-c731-4af9-9fff-1df465222177
First observed: Jun 13, 2014
Last observed: Aug 20, 2025 13 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.