DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

B•• C•••••• M••••••••• L••

CRD 337570

NORTHFIELD, IL

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Search this name across graphsid dfx:ria:8c2e9694-0d6c-0fee-3615-a36dde0f2766

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 1
Observed: Aug 13, 2025 to Mar 27, 2026
2 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Independent Sponsorsidentity

B•• C•••••• M••••••••• L••

Capital provider to sponsors · shared crd

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=0.0
Regulatory AUM: $126M••• Locked
Discretionary RAUM: $126M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $63.1Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J••••• S•••••• L•••	Chartered Financial Analyst	Asheville, NC \| NORTHFIELD, IL	1	28	2	no
S••••• M•••••• F•••••••	Chartered Financial Analyst	NORTHFIELD, IL	0	14

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F•••••••• S•••••• M••••••	HEAD OF TRADING	Na	yes	02/2019	Mar 27, 2026	Mar 27, 2026
K•••• M•••••	CHIEF EXECUTIVE OFFICER	E	yes	06/2013	Mar 27, 2026	Mar 27, 2026

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 27, 2026	$126M	$126M	3	3	1	2	n/a

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	1	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	$126M	n/a	n/a	n/a	n/a	3	n/a	1	n/a

Relationships

Controls (3)

← L•••• J•••••• S••••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 27, 2026 to presentfactForm ADV
← F•••••••• S•••••• M••••••OwnerHEAD OF TRADING, ownership code NA, individual
Mar 27, 2026 to presentfactForm ADV
← K•••• M•••••OwnerCHIEF EXECUTIVE OFFICER, ownership code E, individual
Mar 27, 2026 to presentfactForm ADV

Registered with (2)

← S••••• M•••••• F•••••••Advisor

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8c2e9694-0d6c-0fee-3615-a36dde0f2766
First observed: Aug 13, 2025
Last observed: Mar 27, 2026 5 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.