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•• I••••••••• M••••••••• I••

Former SEC-registered adviserHinsdale, IllinoisCRD 105181SEC 801-35786IAPD
Latest filing Nov 21, 2022
First filing on the tape Mar 29, 2012 · 27 filings
RAUM
$39.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
13%
$5.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$39.7M as of Mar 21, 2022
Mar 29, 2012$290M then
HNW client RAUM$4.9M as of Mar 21, 2022
Mar 30, 2018$118M then
State-registered IARs (5.B.3)2 as of Mar 21, 2022
Mar 27, 20132 then
Employees (5.A)3 as of Mar 21, 2022
Mar 27, 20133 then
Private funds: no history
RAUM -47% over the last fiscal year-47% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Nov 21, 2022; every figure names its basis
RAUM per advisor
$19.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$2.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
86%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-47%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Insurance companies$33.1M83%
  • High-net-worth individuals$4.9M12%
  • Charitable organizations$935,3412.4%
  • Individuals$445,1701.1%
  • Corporations and businesses$407,0981.0%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
0reported
Charitable clients
n/areported
Accounts
16reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • P•••••• D••••• W•••• · Chief Executive Officercontrol
        since 02/1986 · owns less than 5%
      • P•••••• D••••• W•••• · Trusteecontrol
        since 02/2006 · owns 75% or more of D••••••• P••••• F••••• T••••
      • P•••••• M••••••• D••••• · Senior Vice President
        since 10/2010 · owns 10% to 25%
      • S••••••••• G•••• J••••• · Cco
        since 10/2018 · owns less than 5%
      Entity owners
      • D••••••• P••••• F••••• T•••• · Trust
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Wrap assets (manager) · 53726812.0 to unset
        Nov 4, 2022 to Nov 16, 2022
      • Wrap assets (sponsor) · 0.0 to unset
        Nov 4, 2022 to Nov 16, 2022
      • Accounts · 52 to 16
        Mar 12, 2021 to Mar 21, 2022
      • Advisory employees · 3 to 2
        Mar 12, 2021 to Mar 21, 2022
      • Corporate clients · 7.0 to unset
        Mar 12, 2021 to Mar 21, 2022
      • HNW clients · 35.0 to unset
        Mar 12, 2021 to Mar 21, 2022
      • Individual clients · 0.0 to unset
        Mar 12, 2021 to Mar 21, 2022
      • Discretionary RAUM · $75.5M to $39.7M
        Mar 12, 2021 to Mar 21, 2022
      • HNW RAUM · $48.1M to $4.9M
        Mar 12, 2021 to Mar 21, 2022
      • Individual RAUM · $0 to $445,170
        Mar 12, 2021 to Mar 21, 2022
      • RAUM · $75.5M to $39.7M
        Mar 12, 2021 to Mar 21, 2022
      • Accounts · 135 to 52
        Dec 9, 2020 to Mar 11, 2021
      • Advisory employees · 2 to 3
        Dec 9, 2020 to Mar 11, 2021
      • Corporate clients · 9 to 7
        Dec 9, 2020 to Mar 11, 2021
      • HNW clients · 105 to 35
        Dec 9, 2020 to Mar 11, 2021
      • Discretionary RAUM · $236M to $75.5M
        Dec 9, 2020 to Mar 11, 2021
      • HNW RAUM · $109M to $48.1M
        Dec 9, 2020 to Mar 11, 2021
      • RAUM · $236M to $75.5M
        Dec 9, 2020 to Mar 11, 2021
      • Wrap assets (manager) · $29.8M to $53.7M
        Dec 9, 2020 to Mar 11, 2021
      • Accounts · 142 to 135
        Jul 12, 2019 to Mar 16, 2020
      • Corporate clients · 8 to 9
        Jul 12, 2019 to Mar 16, 2020
      • HNW clients · 68 to 105
        Jul 12, 2019 to Mar 16, 2020
      • Individual clients · 44 to 0
        Jul 12, 2019 to Mar 16, 2020
      • Pension plan clients · unset to 0.0
        Jul 12, 2019 to Mar 16, 2020
      • Pooled vehicle clients · unset to 0.0
        Jul 12, 2019 to Mar 16, 2020
      • Discretionary RAUM · $260M to $236M
        Jul 12, 2019 to Mar 16, 2020
      • HNW RAUM · $90.8M to $109M
        Jul 12, 2019 to Mar 16, 2020
      • Individual RAUM · $11.7M to $0
        Jul 12, 2019 to Mar 16, 2020
      • Pension RAUM · unset to 0.0
        Jul 12, 2019 to Mar 16, 2020
      • Pooled vehicle RAUM · unset to 0.0
        Jul 12, 2019 to Mar 16, 2020
      • RAUM · $260M to $236M
        Jul 12, 2019 to Mar 16, 2020
      • Wrap assets (manager) · $24.9M to $29.8M
        Jul 12, 2019 to Mar 16, 2020
      • Related adviser · false to true
        Mar 25, 2019 to Jul 12, 2019
      • Accounts · 157 to 142
        Oct 26, 2018 to Mar 25, 2019
      • Corporate clients · 7 to 8
        Oct 26, 2018 to Mar 25, 2019
      • HNW clients · 79 to 68
        Oct 26, 2018 to Mar 25, 2019
      • Individual clients · 7 to 44
        Oct 26, 2018 to Mar 25, 2019
      • Discretionary RAUM · $276M to $260M
        Oct 26, 2018 to Mar 25, 2019
      • HNW RAUM · $118M to $90.8M
        Oct 26, 2018 to Mar 25, 2019
      • Individual RAUM · $673,166 to $11.7M
        Oct 26, 2018 to Mar 25, 2019
      Signals
      4 dated events
      • M•••••• D••••• P••••• left M•• I••••••••• M••••••••• I•• for M•• W••••• M••••••••• L•• (registered 2019-08-12)
        Dec 31, 2022 · Advisor changed firm · fact
      • D•••• W•••• P••••• left M•• I••••••••• M••••••••• I•• for M•• W••••• M••••••••• L•• (registered 2019-08-22)
        Dec 31, 2022 · Advisor changed firm · fact
      • 2 advisors left M•• I••••••••• M••••••••• I•• (Hinsdale, IL) for M•• W••••• M••••••••• L•• on the same day
        Dec 31, 2022 · Team lift-out · derived
      • M•• I••••••••• M••••••••• I•• reported RAUM $75.5M, down 68% from $235.8M (2020-12-09 to 2021-03-11)
        Mar 11, 2021 · RAUM change · derived
      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