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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

M•••••• F•••••••• S••••••• I••

CRD 105367

WHEATON, IL

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Search this name across graphsid dfx:ria:c46729af-a831-6991-03a8-24aed987342a

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Mar 20, 2012 to Mar 31, 2026
22 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: 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: $145MItem 5.F on the latest filing (2026-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $145M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••••• R•••••• J••••	V. P., CFO, TREASURER & DIRECTOR	Na	yes	02/2010	Mar 20, 2012	Dec 5, 2024
B••••••••• R•••••• S•••••	CHAIRMAN/PRESIDENT & DIRECTOR	E	yes	11/1975	Mar 20, 2012

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

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

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$145M	$127M	13.6%	$90.4M	17.0%	3	3	0	0

Relationships

Controls (2)

← B••••••••• R•••••• S•••••OwnerCHAIRMAN/PRESIDENT & DIRECTOR, ownership code E, individual
Mar 20, 2012 to Dec 5, 2024factForm ADV
← B••••••••• R•••••• J••••OwnerV. P., CFO, TREASURER & DIRECTOR, ownership code NA, individual
Mar 20, 2012 to Dec 5, 2024factForm ADV

Owns (3)

← B••••• D•••••• D•OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Dec 5, 2024 to Dec 5, 2024factForm ADV
← P••••••••• A••••••OwnerPASSIVE INVESTOR, ownership code A, individual

Dated events

Occurred
Oct 26, 2021
Control person left
William Lawrence Clay (Chief Compliance Officer) no longer on Schedule A of M•••••• F•••••••• S••••••• I•• (listed 2021-03-25, absent 2021-10-26)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c46729af-a831-6991-03a8-24aed987342a
First observed: Mar 20, 2012
Last observed: Mar 31, 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.

2025	Mar 31, 2026	$145M	$145M	3	3	0	n/a	n/a
2024	Mar 19, 2025	$127M	$127M	3	3	0	n/a	n/a
2023	Mar 4, 2024	$110M	$110M	3	2	0	n/a	n/a
2022	Mar 8, 2023	$90.4M	$90.4M	3	2	0	n/a	n/a
2021	Mar 15, 2022	$136M	$136M	2	2	0	n/a	n/a
2020	Mar 25, 2021	$131M	$131M	2	2	0	n/a	n/a
2019	Mar 24, 2020	$138M	$138M	2	2	0	n/a	n/a
2018	Mar 28, 2019	$130M	$130M	2	2	0	n/a	n/a
2017	Mar 27, 2018	$204M	$204M	3	2	0	n/a	n/a
2016	Mar 22, 2017	$171M	$171M	3	2	n/a	n/a	n/a
2015	Mar 29, 2016	$182M	$182M	3	2	n/a	n/a	n/a
2014	Mar 30, 2015	$212M	$212M	3	2	n/a	n/a	n/a
2013	Mar 24, 2014	$191M	$191M	3	2	n/a	n/a	n/a
2012	Mar 28, 2013	$99.6M	$99.6M	3	2	n/a	n/a	n/a
2011	Mar 20, 2012	$77.8M	$77.8M	n/a	n/a	n/a	n/a	n/a