DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM 1b 10b

M•••••• C•••••• F•••••• L••

CRD 284091

CHICAGO, IL

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Search this name across graphs

Data as of May 11, 2020 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 29
Dated events: 4
On other graphs: 2
Observed: May 27, 2016 to May 11, 2020
10 observations

Across DFX

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

Private Equityidentity

M•••••• C•••••• F•••••• L••

Private equity manager · key_crd, key_sfn_adviser, shared_crd

Private Creditidentity

M•••••• C•••••• F•••••• L••

Private credit manager · key_crd, key_sfn_adviser, shared_crd

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: $3.7B••• Locked
Discretionary RAUM: $3.6B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 101
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
M•• C•• I•• L••	Securitized Asset Fund	$306M	Mar 31, 2017	2	Feb 20, 2013	dropped	n/a
M•• C•• I• L••	Securitized Asset Fund	$688,446

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H••••• F••••••• M••••••	ELECTED MANAGER AND MEMBER OF THE AUDIT COMMITTEE	Na	yes	07/2014	May 27, 2016	May 11, 2020
H•••••• T•••••• A••••••••	ELECTED MANAGER, CHAIRMAN OF AUDIT COMMITTEE	Na	yes	02/2014	May 27, 2016	May 11, 2020

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
N•• I•••••••• L••	n/a	Institutional manager	$329B	N	yes	n/a
M••••• S•••••• L••	n/a	Other adviser	$160B	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019	Mar 30, 2020

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$3.7B	$3.1B	18.6%	$2.1B	21.4%	101	92	0	0

Relationships

Affiliated with (14)

← P•••••• A••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ M••••• S•••••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ P•••••• A••••••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ N•• Y••• L••• I••••••••• M••••••••• L••Registered adviser

Dated events

Order

Occurred
29 Mar 2019
Regulatory AUM changed
••• Locked
Form ADV
$910M
Occurred
16 Feb 2019
Control person left
••• Locked
Form ADV
Occurred
27 May 2016
First Form ADV filing
••• Locked
Form ADV
Occurred
27 May 2016
Succession filed (Item 4)
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: May 27, 2016
Last observed: May 11, 2020 77 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.

All 12 rows

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
T•••••• C••••••••• W••••	SENIOR MANAGING DIRECTOR, CHIEF EXECUTIVE OFFICER	Na	yes	07/2018	Mar 28, 2018	May 11, 2020
Y•••• J•• S•••	ELECTED MANAGER	Na	yes	05/2017	Mar 28, 2018	May 11, 2020

All 21 rows

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M•••••• A••••• L••• F••• G• L••	n/a	n/a	n/a	Y	yes	n/a
M•• C••••••••• G• L••	n/a	n/a	n/a	Y	yes	n/a
M•• C••••••••• G• L•	n/a	n/a	n/a	Y	yes	n/a
M••••••••• G• L••	n/a	n/a	n/a	Y	yes	n/a
N•• Y••• L••• I•••••••• A•• A•••••• C•••••••••	n/a	n/a	n/a	Y	yes	n/a
N•• Y••• L••• I•••••••• C••••••	n/a	n/a	n/a	Y	no	n/a
N•• Y••• L••• I••••••••• M••••••••• A••• L••••••	n/a	n/a	n/a	N	yes	n/a
N•• Y••• L••• I••••••••• M••••••••• H••• K••• L••••••	n/a	n/a	n/a	N	yes	n/a
N•• Y••• L••• T•••• C••••••	n/a	n/a	n/a	N	yes	n/a
N••••• D••••••••• L••	n/a	n/a	n/a	N	yes	n/a
S•••••• M•••••••• N•• Y••• L•••• S••• D• C•••	n/a	n/a	n/a	N	yes	n/a