DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 100m 1b

L•••••• S••••••••• I•••

CRD 28352

LAKE BLUFF, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphs

Data as of Jun 29, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 23
Dated events: 3
On other graphs: 0
Observed: Jan 30, 2026 to Jun 29, 2026
3 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: independent wealth managerderived••• Locked
Regulatory AUM: $138M••• Locked
Discretionary RAUM: $138M
Private client RAUM: $138Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 15
RAUM per advisor: $9.2Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
D••••• T••••••• M••••••••	n/a	Lake Bluff, IL \| Levittown, NY	20	41	n/a	yes
M••••• L•••• Y•••••••	n/a	Lake Bluff, IL \| NAPERVILLE, IL	17	37

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M••••••••• D••••• T•••••••	CEO, CO-CCO (BD ONLY) & FINOP	E	yes	04/2018	Jun 29, 2026	Jun 29, 2026
M••••••••• M•••••• R••••••	CHIEF FINANCIAL OFFICER AND CCO (IA ONLY)	Na	no	03/2020	Jun 29, 2026	Jun 29, 2026

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 31, 2026	$106M	$106M	11	10	10	n/a	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
2	0	2	0.0%	0	0	0	3	2

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	$138M	n/a	n/a	n/a	n/a	14	n/a	10	n/a

Relationships

Owns (2)

← M••••••••• M•••••• R••••••OwnerCHIEF FINANCIAL OFFICER AND CCO (IA ONLY), ownership code NA, individual
Jun 29, 2026 to presentfactForm ADV
← R•••••••• T•••• J•••OwnerCOO / CO-CCO (BD ONLY), ownership code NA, individual
Jun 29, 2026 to presentfactForm ADV

Controls (1)

← M••••••••• D••••• T•••••••OwnerCEO, CO-CCO (BD ONLY) & FINOP, ownership code E, individual
Jun 29, 2026 to presentfactForm ADV

Registered with (20)

Dated events

Order

Occurred
11 Mar 2026
Advisor departed, no destination yet
••• Locked
Form ADV
Occurred
14 Mar 2024
Advisor changed firm
••• Locked
Form ADV
Occurred
16 Feb 2024
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 30, 2026
Last observed: Jun 29, 2026 2 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 14 rows

Advisor	Designations	Branch	In industry	Prior firms	Dual registered
W•••••• M•••••• L••••••	n/a	Kansas City, MO \| LAKE BLUFF, IL	33	7	yes
J••••• S•••••	n/a	Maple Plain, MN	20	2	yes
C••••• A•••• S•••••••	n/a	LAKE BLUFF, IL \| Greenville, WI	10	n/a	yes
D•••• J•••• L•••••••••	n/a	LAKE BLUFF, IL \| Maple Plain, MN	10	n/a	yes