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.

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Former SEC-registered adviser

M•••• M••••••• A•••••••

Former SEC-registered adviserOak Brook, IllinoisCRD 104972SEC 801-111916IAPD
Legal name M•••• M••••••• A••••••• I••
Latest filing Feb 17, 2020
First filing on the tape Sep 25, 2017 · 5 filings
RAUM
$117M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$117M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$117M as of Feb 17, 2020
Mar 20, 2018$99.0M then
HNW client RAUM$51.8M as of Feb 17, 2020
Mar 20, 2018$36.2M then
State-registered IARs (5.B.3)2 as of Feb 17, 2020
Mar 20, 20183 then
Employees (5.A)5 as of Feb 17, 2020
Mar 20, 20183 then
Private funds: no history
RAUM +5.7% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Feb 17, 2020; every figure names its basis
RAUM per advisor
$58.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
355derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$809,498derivedHNW RAUM over HNW clients
Average account
$92,461derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+5.7%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+50%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, educational seminars, otherreportedItem 5.G
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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$65.3M56%
  • High-net-worth individuals$51.8M44%
Individual clients
646reported
HNW clients
64reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,267reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • C••••• N••••• G•••• · President And Chief Compliance Officercontrol
    since 03/1988 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 937 to 1,267
    Mar 29, 2019 to Feb 17, 2020
  • HNW clients · 350 to 64
    Mar 29, 2019 to Feb 17, 2020
  • Individual clients · 123 to 646
    Mar 29, 2019 to Feb 17, 2020
  • Employees · 2 to 5
    Mar 29, 2019 to Feb 17, 2020
  • Financial planning clients · 51-100 to 101-250
    Mar 29, 2019 to Feb 17, 2020
  • Discretionary RAUM · $111M to $117M
    Mar 29, 2019 to Feb 17, 2020
  • HNW RAUM · $80.9M to $51.8M
    Mar 29, 2019 to Feb 17, 2020
  • Individual RAUM · $29.9M to $65.3M
    Mar 29, 2019 to Feb 17, 2020
  • RAUM · $111M to $117M
    Mar 29, 2019 to Feb 17, 2020
  • Accounts · 1,000 to 937
    Mar 20, 2018 to Mar 29, 2019
  • Advisory employees · 3 to 2
    Mar 20, 2018 to Mar 29, 2019
  • HNW clients · 102 to 350
    Mar 20, 2018 to Mar 29, 2019
  • Individual clients · 577 to 123
    Mar 20, 2018 to Mar 29, 2019
  • Assets in custody · 383000.0 to unset
    Mar 20, 2018 to Mar 29, 2019
  • Custody of client assets · true to false
    Mar 20, 2018 to Mar 29, 2019
  • Employees · 3 to 2
    Mar 20, 2018 to Mar 29, 2019
  • Financial planning clients · 101-250 to 51-100
    Mar 20, 2018 to Mar 29, 2019
  • State-registered IARs · 3 to 2
    Mar 20, 2018 to Mar 29, 2019
  • Discretionary RAUM · $99.0M to $111M
    Mar 20, 2018 to Mar 29, 2019
  • HNW RAUM · $36.2M to $80.9M
    Mar 20, 2018 to Mar 29, 2019
  • Individual RAUM · $62.8M to $29.9M
    Mar 20, 2018 to Mar 29, 2019
  • RAUM · $99.0M to $111M
    Mar 20, 2018 to Mar 29, 2019
  • Accounts · 312 to 1,000
    Oct 13, 2017 to Mar 20, 2018
  • Advisory employees · 2 to 3
    Oct 13, 2017 to Mar 20, 2018
  • HNW clients · unset to 102.0
    Oct 13, 2017 to Mar 20, 2018
  • Individual clients · unset to 577.0
    Oct 13, 2017 to Mar 20, 2018
  • Assets in custody · unset to 383000.0
    Oct 13, 2017 to Mar 20, 2018
  • Custody of client assets · false to true
    Oct 13, 2017 to Mar 20, 2018
  • Employees · 2 to 3
    Oct 13, 2017 to Mar 20, 2018
  • Financial planning clients · 51-100 to 101-250
    Oct 13, 2017 to Mar 20, 2018
  • State-registered IARs · 2 to 3
    Oct 13, 2017 to Mar 20, 2018
  • Other offices · 1 to 0
    Oct 13, 2017 to Mar 20, 2018
  • Discretionary RAUM · $105M to $99.0M
    Oct 13, 2017 to Mar 20, 2018
  • HNW RAUM · unset to 36172752.0
    Oct 13, 2017 to Mar 20, 2018
  • Individual RAUM · unset to 62826857.0
    Oct 13, 2017 to Mar 20, 2018
  • RAUM · $105M to $99.0M
    Oct 13, 2017 to Mar 20, 2018
  • Other offices · unset to 1.0
    Sep 25, 2017 to Oct 13, 2017
Signals
1 dated events
  • M•••• M••••••• A••••••• filed its initial SEC registration (Form ADV)
    Sep 25, 2017 · 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.
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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026