DFX Intelligence

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

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RIA / WealthRegistered adviserstate registeredstate registeredRAUM under $100M

M•••••••• A•••• M••••••••• I•••

CRD 146096

NORTHBROOK, IL

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Search this name across graphsid dfx:ria:7a739f5d-132a-9337-2c9f-cc02d0ca2292

Data as of Aug 10, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Aug 10, 2026 to Aug 10, 2026
1 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: state registeredderivedon the IAPD state feed, not SEC-registered
Regulatory AUM: $75.0M••• Locked
Discretionary RAUM: $75.0M
Private client RAUM: $75.0Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Employees: 4
Advisory employees: 4

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
K•••• M•• N•••••	n/a	NORTHBROOK, IL	18	19	n/a	no
B•••••• J•••• P••••	n/a	NORTHBROOK, IL	10	26

Relationships

Registered with (4)

← A••• M•••••• M••••Advisorregistration: current employment
Jul 16, 2026 to presentfactForm ADV
← D•••• H•••• M••••Advisorregistration: current employment
Mar 23, 2021 to presentfactForm ADV
← B•••••• J•••• P••••Advisorregistration: current employment
Dec 9, 2015 to presentfactForm ADV
← K•••• M•• N•••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7a739f5d-132a-9337-2c9f-cc02d0ca2292
First observed: Aug 10, 2026
Last observed: Aug 10, 2026 44 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.