DFX Intelligence

M••••••• A•••• M••••••••• L••: 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 adviserOther adviserSEC registeredRAUM 1b 10b

M••••••• A•••• M••••••••• L••

CRD 285287

EVANSTON, 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 Aug 5, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 21
On other graphs: 0
Observed: Dec 23, 2016 to Aug 5, 2026
27 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: other adviserderivedprivate_client_share=0.0 fund_share=0.35 institutional_share=0.65 related_bd=false related_bank=true bd_reps=0.0
Regulatory AUM: $1.9B••• Locked
Discretionary RAUM: $1.9B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $1.9Bderived

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L••••• R•••	MEMBER/MANAGER	C	yes	04/2006	Dec 23, 2016	Jul 29, 2024
L••••• R•••	President	Na	yes	08/2016	Dec 23, 2016	Jul 29, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M••••••• F•••••••• L••	n/a	Asset manager	$32B	N	yes	n/a
M••••••• F•••••••• ••• L••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

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	0	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	$1.9B	$209M	819.3%	$131M	144.8%	167	147	2	0

Relationships

Affiliated with (2)

→ M••••••• F•••••••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← M••••••• F•••••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV

Registered with (1)

← D•••• J•• S••••••••Advisorregistration: current employment
Jan 26, 2026 to presentfactForm ADV

Owns (5)

Dated events

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

Order

Occurred
31 Mar 2026
Regulatory AUM changed
••• Locked
Form ADV
$1.7B
Occurred
5 Aug 2026
Ria principal change7 events
M••••••• A•••• M••••••••• L••: ria principal change, 7 events, on 5 Aug 2026
- ••• Locked
- ••• Locked
- ••• Locked
Occurred
5 Aug 2026
Ria office opened2 events
M••••••• A•••• M••••••••• L••: ria office opened, 2 events, on 5 Aug 2026
- ••• Locked
- ••• Locked
Occurred
28 Mar 2024
Control person left
••• Locked
Form ADV
Occurred
22 Mar 2023
Regulatory AUM changed
••• Locked
Form ADV
down $250M

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Dec 23, 2016
Last observed: Aug 5, 2026 49 days 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

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G••••••••• N••••	CHIEF FINANCIAL OFFICER, LIQUID STRATEGIES	Na	no	04/2023	Mar 28, 2024	Jul 29, 2024
H•••••• L••••••• E•••••	CHIEF FINANCIAL OFFICER, ALTERNATIVE CREDIT & FIXED INCOME	Na	no	04/2023	Mar 28, 2024	Jul 29, 2024
L•••••••• A•••	Member	C	no	04/2006	Dec 23, 2016	Jul 29, 2024
L• N••• I••••••••• L••	LIMITED PARTNER	C	no	04/2006	Dec 23, 2016	Jul 29, 2024