DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

SEC-registered adviser

Midwestern Securities Trading Co.,LLC

Independent wealth managerEast Peoria, IllinoisCRD 101080SEC 801-77948websiteIAPD
Legal name Midwestern Securities Trading Company, LLC
Latest filing Jun 24, 2026
First filing on the tape Apr 8, 2013 · 80 filings
SEC status approved since Apr 18, 2013
RAUM
$2.0B
reported, Item 5.F
Discretionary
56%
of RAUM
Private clients
95%
$1.9B individuals and HNW
Advisors
51
registered through the firm on IAPD
RAUM per advisor
$38.9M
derived; firm RAUM over IAPD count
Employees
105
43 advisory (5.B.1)
Offices
85
beyond the principal office
Private funds
0
reported on Schedule D
History
80 filings and snapshots on the tape
RAUM$2.0B as of Jun 24, 2026
Jan 2, 2014$153M then
HNW client RAUM$450M as of Jun 24, 2026
Feb 28, 2018$53.4M then
State-registered IARs (5.B.3)16 as of Jun 24, 2026
Jan 2, 20145 then
Employees (5.A)105 as of Jun 24, 2026
Jan 2, 201435 then
Private funds: no history
RAUM +22% over the last fiscal year+25% a year over threeIARs 14 to 16offices 76 to 85
Practice profile
derived from the filing of Jun 24, 2026; every figure names its basis
Archetypes, each a printed rule
  • Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
  • Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
  • Multi-office growth platform · an independent wealth manager (not a wirehouse, national broker-dealer RIA or broker-dealer affiliated firm) with at least five offices, at least 50 advisors, and RAUM up at least 20 percent over the last annual amendment
  • Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
RAUM per advisor
$39.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
234derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.9MderivedHNW RAUM over HNW clients
Average account
$167,543derivedRAUM over accounts (5.F.2.f)
Discretionary
56%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.1derivedItem 5.A over advisors
Advisors per office
0.6derived86 offices incl. principal (1.F.5)
RAUM growth, one year
+22%derivedbetween the last two annual amendments
Advisor growth, one year
+14%derivedItem 5.B.3 between annual amendments
Client growth, one year
+15%derived
Compensation
percentage of assets, hourly, fixed fees, commissions, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminars, otherreportedItem 5.G
Wrap fee program
$1.1BreportedItem 5.I
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$1.4B73%
  • High-net-worth individuals$450M23%
  • Corporations and businesses$93.5M4.7%
Individual clients
11,466reported
HNW clients
243reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
11,847reported
Financial planning clients
1-10reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, commissionsreported
Class basis
private_client_share=0.95 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=44.0derived
Advisors registered through the firm
51 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Michael John GrahamHavana, Il Sep 27, 199930 y0
Joshua Andrew MillerCertified Financial PlannerTable Grove, Il Jun 27, 200624 y0
Jeffrey Alan SchumacherEureka, Il Nov 8, 200719 y0
Brian Howard CardPeoria, Il Mar 1, 201022 y3
Mark Allen GregorChartered Financial ConsultantSt. Louis, Mo Aug 2, 201018 y1
Cassandra Lee TarabolettiEast Peoria, IlJan 4, 201120 y1
Robert Matthew MinorPearl City, Il Feb 3, 201415 y0
Adam Bradley CarlsonMonmouth, Il Feb 25, 201418 y0
Cody Dennis LeachCertified Financial PlannerMackinaw, Il Oct 1, 201412 y0
Tate Robert HartmanEast Peoria, Il Feb 25, 201511 y0
Michael Thomas VogtEast Peoria, Il Dec 12, 201511 y0
Ahlden Jay HarmsPaxton, Il Nov 30, 201610 y0
Jason Frederick StadsholtEast Peoria, Il Apr 3, 201724 y2
Scott Michael FisherEast Peoria, IlOct 17, 201710 y0
Eric Matthew GrantEast Peoria, Il Mar 6, 201814 y0
Marc Jonathan TheienRockford, Il Aug 1, 201829 y5
Troy Daniel MartinaEast Peoria, IlJul 10, 201910 y0
Luke HarlFairfield, Il Feb 11, 202010 y0
Michael Andrew DoublinEast Peoria, IlOct 7, 202010 y0
Michael D EnnenCentralia, Il Mar 1, 202122 y0
Andrew Richard ReedEast Peoria, Il May 27, 202110 y0
Nikolas Steven AdamsEast Peoria, IlAug 12, 202111 y1
Nathan William WhiteCarthage, Il Aug 25, 202125 y0
Brady Lewis HuberCentralia, Il Nov 3, 202110 y0
Eric Paul BenesEast Peoria, Il Mar 8, 202217 y0
Elizabeth M WhiteMt Sterling, Il Jun 9, 202225 y0
Sarah Ann GritzmacherEast Peoria, IlAug 2, 202210 y0
Josiah Eugene SpringerOglesby, Il Jan 5, 20239 y1
Melody Lea TerrellEast Peoria, Il May 25, 202310 y1
Mark Anthony Montes De OcaChampaign, Il Jun 28, 202313 y4
Joshua William JanssenEast Peoria, Il Jan 2, 202412 y0
Anne Elizabeth SchuttCertified Financial Planner, Chartered Financial ConsultantCarthage, Il Jan 25, 202413 y1
Dana Brandl TupperLuxemburg, Wi Jun 28, 202415 y1
Winfield Samuel EllisPlainfield, In Jul 12, 202421 y0
Nathaniel MayesEast Peoria, Il Aug 19, 202410 y1
Emily Lynn BruingtonEast Peoria, IlSep 18, 202410 y0
John Paul FierstEast Peoria, Il Sep 24, 202416 y0
Tirzah Toni Alvelda RenkesSterling, IlOct 24, 202414 y0
Kendall Michael CoxEast Peoria, Il Nov 29, 202411 y0
Ian Randal TimmermannGreenville, Il Feb 18, 202514 y0
All 51 advisors at Midwestern Securities Trading Co.,LLC
Advisor movement
3 left, 0 joined in 12 months
net -3 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 5.9% of current headcount6 left over 36 months
Left, latest
Joined, latest
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Michael John Graham · Chief Executive Officer/Presidentcontrol
    since 12/1999 · owns 50% to 75%
  • Cassandra Lee Taraboletti · Chief Operations President
    since 08/2011 · owns less than 5%
  • Nathan William White · Chief Financial Officer/Cco/Vice President
    since 10/2004 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
East Peoria, Il · principal4681
Peoria, Il511
Mackinaw, Il410
St Louis, Mo400
Sterling, Il410
Eureka, Il400
Carthage, Il310
Davenport, Ia310
Toulon, Il300
Greenville, Il300
Metamora, Il300
Fairfield, Il310
Monmouth, Il300
Mt Sterling, Il200
Nashville, Il200
Oglesby, Il200
Oregon, Il200
Paxton, Il200
Pittsfield, Il200
Pontiac, Il200
Offices
Schedule D 1.F, the 25 largest
  • Centralia, IL2 employees
  • Irvington, IL2 employees
  • Nashville, IL2 employees
  • Tremont, IL2 employees
  • Princeville, IL2 employees
  • Peoria, IL2 employees
  • Oglesby, IL1 employees
  • Pontiac, IL1 employees
  • Fairfield, IL1 employees
  • Kewanee, IL1 employees
  • Galva, IL1 employees
  • Pittsfield, IL1 employees
  • Mt Sterling, IL1 employees
  • Griggsville, IL1 employees
  • Paxton, IL1 employees
  • Havana, IL1 employees
  • Galesburg, IL1 employees
  • Winnebago, IL1 employees
  • Cissna Park, IL1 employees
  • Rushville, IL1 employees
  • Harvard, IL1 employees
  • Manchester, MO1 employees
  • Effingham, IL1 employees
  • Oregon, IL1 employees
  • Marion, IL1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
  • high office count relative to headcountStatic outlier · filing Jun 24, 2026
    offices per registered advisor of 1.7 against a peer median of 0.3 (529 comparable advisers, 99.0th percentile, 6.0 robust deviations)
    peers: independent wealth managers, $1B to $5B (529) · 99% percentile
What changed
consecutive filings, newest first
  • Accounts · 10,329 to 11,847
    Feb 23, 2026 to Mar 30, 2026
  • Advisory employees · 41 to 43
    Feb 23, 2026 to Mar 30, 2026
  • BD registered reps · 42 to 44
    Feb 23, 2026 to Mar 30, 2026
  • Corporate clients · 123 to 138
    Feb 23, 2026 to Mar 30, 2026
  • HNW clients · 169 to 243
    Feb 23, 2026 to Mar 30, 2026
  • Individual clients · 10,037 to 11,466
    Feb 23, 2026 to Mar 30, 2026
  • Employees · 104 to 105
    Feb 23, 2026 to Mar 30, 2026
  • State-registered IARs · 14 to 16
    Feb 23, 2026 to Mar 30, 2026
  • Other offices · 76 to 85
    Feb 23, 2026 to Mar 30, 2026
  • Discretionary RAUM · $850M to $1.1B
    Feb 23, 2026 to Mar 30, 2026
  • HNW RAUM · $321M to $450M
    Feb 23, 2026 to Mar 30, 2026
  • Individual RAUM · $1.2B to $1.4B
    Feb 23, 2026 to Mar 30, 2026
  • Non-discretionary RAUM · $777M to $871M
    Feb 23, 2026 to Mar 30, 2026
  • RAUM · $1.6B to $2.0B
    Feb 23, 2026 to Mar 30, 2026
  • Financial planning clients · 1-10 to 1-10
    Mar 31, 2025 to Jun 30, 2025
  • Accounts · 8,452 to 10,329
    Nov 19, 2024 to Mar 31, 2025
  • Advisory employees · 38 to 41
    Nov 19, 2024 to Mar 31, 2025
  • BD registered reps · 39 to 42
    Nov 19, 2024 to Mar 31, 2025
  • Corporate clients · 98 to 123
    Nov 19, 2024 to Mar 31, 2025
  • HNW clients · 131 to 169
    Nov 19, 2024 to Mar 31, 2025
  • Individual clients · 8,223 to 10,037
    Nov 19, 2024 to Mar 31, 2025
  • Employees · 79 to 104
    Nov 19, 2024 to Mar 31, 2025
  • State-registered IARs · 13 to 14
    Nov 19, 2024 to Mar 31, 2025
  • Other offices · 71 to 76
    Nov 19, 2024 to Mar 31, 2025
  • Discretionary RAUM · $616M to $850M
    Nov 19, 2024 to Mar 31, 2025
  • HNW RAUM · $249M to $321M
    Nov 19, 2024 to Mar 31, 2025
  • Individual RAUM · $938M to $1.2B
    Nov 19, 2024 to Mar 31, 2025
  • Non-discretionary RAUM · $647M to $777M
    Nov 19, 2024 to Mar 31, 2025
  • RAUM · $1.3B to $1.6B
    Nov 19, 2024 to Mar 31, 2025
  • Accounts · 7,479 to 8,452
    Feb 15, 2024 to Mar 28, 2024
  • Advisory employees · 37 to 38
    Feb 15, 2024 to Mar 28, 2024
  • Corporate clients · 81 to 98
    Feb 15, 2024 to Mar 28, 2024
  • HNW clients · 89 to 131
    Feb 15, 2024 to Mar 28, 2024
  • Individual clients · 7,309 to 8,223
    Feb 15, 2024 to Mar 28, 2024
  • Employees · 60 to 79
    Feb 15, 2024 to Mar 28, 2024
  • State-registered IARs · 14 to 13
    Feb 15, 2024 to Mar 28, 2024
  • Other offices · 56 to 71
    Feb 15, 2024 to Mar 28, 2024
  • Discretionary RAUM · $483M to $616M
    Feb 15, 2024 to Mar 28, 2024
  • HNW RAUM · $179M to $249M
    Feb 15, 2024 to Mar 28, 2024
  • Individual RAUM · $769M to $938M
    Feb 15, 2024 to Mar 28, 2024
Signals
22 dated events
  • Erin Lea Hackbart no longer holds an investment adviser registration (last listed at Midwestern Securities Trading Co.,Llc on the 2026-09-15 feed)
    Sep 15, 2026 · Advisor registration ended · derived
  • Alexis Trotter left Midwestern Securities Trading Co.,Llc for Ausdal Financial Partners, Inc. (registered 2026-09-15)
    Sep 9, 2026 · Advisor changed firm · fact
  • Midwestern Securities Trading Co.,Llc reported 85 offices beyond its principal office, up from 76 (2026-02-23 to 2026-03-30)
    Mar 30, 2026 · Office count change · derived
  • Thomas Cahill left Midwestern Securities Trading Co.,Llc for Lpl Financial Llc (registered 2026-06-23)
    Nov 18, 2025 · Advisor changed firm · fact
  • Danielle Nichole Delong left Midwestern Securities Trading Co.,Llc for Cetera Investment Advisers Llc (registered 2025-11-13)
    Oct 22, 2025 · Advisor changed firm · fact
  • Cullen Miles Pope left Midwestern Securities Trading Co.,Llc for Ameriprise Financial Services, Llc (registered 2025-07-25)
    Jul 30, 2025 · Advisor changed firm · fact
  • Braden Michael Dietz left Midwestern Securities Trading Co.,Llc for Principal Securities, Inc. (registered 2025-06-23)
    Apr 29, 2025 · Advisor changed firm · fact
  • Midwestern Securities Trading Co.,Llc reported RAUM $1.6B, up 29% from $1.3B (2024-11-19 to 2025-03-31)
    Mar 31, 2025 · RAUM change · derived
  • Midwestern Securities Trading Co.,Llc reported 76 offices beyond its principal office, up from 71 (2024-11-19 to 2025-03-31)
    Mar 31, 2025 · Office count change · derived
  • Midwestern Securities Trading Co.,Llc reported 71 offices beyond its principal office, up from 56 (2024-02-15 to 2024-03-28)
    Mar 28, 2024 · Office count change · derived
  • Matthew Geoffrey Buetow left Midwestern Securities Trading Co.,Llc for Pnc Wealth Management (registered 2023-10-19)
    Oct 11, 2023 · Advisor changed firm · fact
  • Tira Lee Clement left Midwestern Securities Trading Co.,Llc for Esi Financial Advisors (registered 2023-10-09)
    Sep 15, 2023 · Advisor changed firm · fact
  • Cody Hester left Midwestern Securities Trading Co.,Llc for J.P. Morgan Securities Llc (registered 2023-08-04)
    Jul 5, 2023 · Advisor changed firm · fact
  • Anthony Joseph Sharp left Midwestern Securities Trading Co.,Llc for Edward Jones (registered 2023-08-04)
    Jul 5, 2023 · Advisor changed firm · fact
  • Midwestern Securities Trading Co.,Llc reported 56 offices beyond its principal office, down from 67 (2022-12-21 to 2023-03-30)
    Mar 30, 2023 · Office count change · derived
  • Michael Ryan Dewalt left Midwestern Securities Trading Co.,Llc for Northwestern Mutual Investment Services,Llc (registered 2023-02-16)
    Jan 3, 2023 · Advisor changed firm · fact
  • Concetta Maria Siciliano left Midwestern Securities Trading Co.,Llc for Ameriprise Financial Services, Llc (registered 2022-08-10)
    Jul 28, 2022 · Advisor changed firm · fact
  • Midwestern Securities Trading Co.,Llc reported RAUM $1.1B, up 27% from $834.0M (2021-09-29 to 2022-03-30)
    Mar 30, 2022 · RAUM change · derived
  • Midwestern Securities Trading Co.,Llc reported RAUM $699.0M, up 29% from $540.1M (2019-12-23 to 2020-03-11)
    Mar 11, 2020 · RAUM change · derived
  • Midwestern Securities Trading Co.,Llc reported 66 offices beyond its principal office, up from 51 (2019-02-25 to 2019-03-14)
    Mar 14, 2019 · Office count change · derived
  • Midwestern Securities Trading Co.,Llc reported RAUM $540.1M, up 30% from $417.0M (2019-02-25 to 2019-03-14)
    Mar 14, 2019 · RAUM change · derived
  • Midwestern Securities Trading Co.,Llc filed its initial SEC registration (Form ADV)
    Apr 8, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
Business phone
309-699-6608reportedpublished by the firm, firm site, Sep 15, 2026
Business phone
309-699-7498reportedpublished by the firm, firm site, Sep 15, 2026
Business phone
800-846-8676reportedpublished by the firm, firm site, Sep 15, 2026
Firm profile
LINKEDIN.COM/COMPANY/1960488reportedpublic record, Form ADV, Sep 17, 2026
Firm profile
LINKEDIN.COM/COMPANY/10307859reportedpublic record, Form ADV, Sep 17, 2026
Website
INVESTWITHJGA.COMreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone
309-699-6786reportedpublic record, Form ADV, Jun 24, 2026
Contact form
investwithjga.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
Team page
investwithjga.com/our-teamreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Independent wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor
$38.9Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026