DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM none

M••••••••• R••••••• S••••••• L••

CRD 285164

CHICAGO, IL

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Search this name across graphsid dfx:ria:8d687756-8ad1-adea-b041-0027a2e297cc

Data as of Mar 26, 2025 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 16
On other graphs: 0
Observed: Nov 1, 2016 to Mar 26, 2025
25 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: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 129
Advisory employees: 128
Offices: 16Schedule D 1.F, beyond the principal office

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••••• K••••• J••••	Director	Na	yes	02/2023	Feb 28, 2023	Jul 8, 2024
H•••• M••••••• J•••	President	Na	yes	01/2023	Nov 1, 2016	Jul 8, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M••••••••• I••••••••• M••••••••• L••	n/a	Mixed wealth	$88B	N	yes	n/a
M••••••••• I••••••••• S••••••• L••	n/a	FORMER_SEC_A••••••	$0	N	yes	n/a

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	Mar 26, 2025	$0	$0	129	128	16	n/a	n/a
2023	Mar 27, 2024

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	$0	n/a	n/a	n/a	n/a	129	142	16	18

Relationships

Affiliated with (4)

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

Dated events

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

Occurred
Jul 8, 2024
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Jul 8, 2024
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 27, 2024
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8d687756-8ad1-adea-b041-0027a2e297cc
First observed: Nov 1, 2016
Last observed: Mar 26, 2025 18 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.