DFX Intelligence

RIA Intelligence

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.

SEC-registered adviser

M•••••• F•••••••• S••••••• I••

Asset manager (funds and pooled vehicles)Wheaton, IllinoisCRD 105367SEC 801-21477websiteIAPD
Latest filing Mar 31, 2026
First filing on the tape Mar 20, 2012 · 22 filings
SEC status approved since Jun 28, 1984
RAUM
$145M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$145M as of Mar 31, 2026
Mar 20, 2012$77.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 20, 20120 then
Employees (5.A)3 as of Mar 31, 2026
Mar 28, 20133 then
Private funds: no history
RAUM +14% over the last fiscal year+17% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$72.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+14%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$145M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B••••••••• R•••••• J•••• · V. P., Cfo, Treasurer & Directorcontrol
      since 02/2010 · owns less than 5%
    • B••••••••• R•••••• S••••• · Chairman/President & Directorcontrol
      since 11/1975 · owns 75% or more
    • B••••• D•••••• D• · Chief Compliance Officer
      since 12/2024 · owns less than 5%
    • P••••••••• A•••••• · Passive Inv•••••
      since 12/1987 · owns 5% to 10%
    • P••••••••• V••••• · Passive Inv•••••
      since 12/1987 · owns 5% to 10%
    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
    • Discretionary RAUM · $127M to $145M
      Mar 19, 2025 to Mar 31, 2026
    • RAUM · $127M to $145M
      Mar 19, 2025 to Mar 31, 2026
    • Financial planning clients · 0 to 0
      Dec 5, 2024 to Mar 19, 2025
    • Discretionary RAUM · $110M to $127M
      Dec 5, 2024 to Mar 19, 2025
    • RAUM · $110M to $127M
      Dec 5, 2024 to Mar 19, 2025
    • Advisory employees · 2 to 3
      Mar 4, 2024 to Dec 5, 2024
    • State-registered IARs · 1 to 0
      Jul 31, 2023 to Mar 4, 2024
    • Discretionary RAUM · $90.4M to $110M
      Jul 31, 2023 to Mar 4, 2024
    • RAUM · $90.4M to $110M
      Jul 31, 2023 to Mar 4, 2024
    • Employees · 2 to 3
      Nov 11, 2022 to Mar 8, 2023
    • Discretionary RAUM · $136M to $90.4M
      Nov 11, 2022 to Mar 8, 2023
    • RAUM · $136M to $90.4M
      Nov 11, 2022 to Mar 8, 2023
    • BD registered reps · 1 to 0
      Oct 26, 2021 to Mar 15, 2022
    • Discretionary RAUM · $131M to $136M
      Oct 26, 2021 to Mar 15, 2022
    • RAUM · $131M to $136M
      Oct 26, 2021 to Mar 15, 2022
    • Discretionary RAUM · $138M to $131M
      Mar 24, 2020 to Mar 25, 2021
    • RAUM · $138M to $131M
      Mar 24, 2020 to Mar 25, 2021
    • Discretionary RAUM · $130M to $138M
      Mar 28, 2019 to Mar 24, 2020
    • RAUM · $130M to $138M
      Mar 28, 2019 to Mar 24, 2020
    • Employees · 3 to 2
      Nov 20, 2018 to Mar 28, 2019
    • Discretionary RAUM · $204M to $130M
      Nov 20, 2018 to Mar 28, 2019
    • RAUM · $204M to $130M
      Nov 20, 2018 to Mar 28, 2019
    • Other offices · unset to 0.0
      Mar 22, 2017 to Mar 27, 2018
    • Discretionary RAUM · $171M to $204M
      Mar 22, 2017 to Mar 27, 2018
    • RAUM · $171M to $204M
      Mar 22, 2017 to Mar 27, 2018
    • Accounts · 3 to 2
      Mar 29, 2016 to Mar 22, 2017
    • Discretionary RAUM · $182M to $171M
      Mar 29, 2016 to Mar 22, 2017
    • RAUM · $182M to $171M
      Mar 29, 2016 to Mar 22, 2017
    • Discretionary RAUM · $212M to $182M
      Mar 30, 2015 to Mar 29, 2016
    • RAUM · $212M to $182M
      Mar 30, 2015 to Mar 29, 2016
    • Discretionary RAUM · $191M to $212M
      Jul 9, 2014 to Mar 30, 2015
    • RAUM · $191M to $212M
      Jul 9, 2014 to Mar 30, 2015
    • Accounts · 4 to 3
      Mar 28, 2013 to Mar 24, 2014
    • Discretionary RAUM · $99.6M to $191M
      Mar 28, 2013 to Mar 24, 2014
    • RAUM · $99.6M to $191M
      Mar 28, 2013 to Mar 24, 2014
    • Discretionary RAUM · $77.8M to $99.6M
      Dec 4, 2012 to Mar 28, 2013
    • RAUM · $77.8M to $99.6M
      Dec 4, 2012 to Mar 28, 2013
    • Advisory employees · unset to 2.0
      Mar 20, 2012 to Dec 4, 2012
    • BD registered reps · unset to 1.0
      Mar 20, 2012 to Dec 4, 2012
    • Employees · unset to 3.0
      Mar 20, 2012 to Dec 4, 2012
    Signals
    1 dated events
    • William Lawrence Clay (Chief Compliance Officer) no longer on Schedule A of M•••••• F•••••••• S••••••• I•• (listed 2021-03-25, absent 2021-10-26)
      Oct 26, 2021 · Control person left · inference
    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
    Firm profile
    LINKEDIN.COM/COMPANY/M••••••-FINANCIAL-SERVICESreportedpublic record, Form ADV, Sep 21, 2026
    Website
    M••••••.COMreportedpublic record, Form ADV, Sep 21, 2026
    Principal office phone
    630-462-9800reportedpublic record, Form ADV, Mar 31, 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
    Asset manager (funds and pooled vehicles)deriveda 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