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••••• • A••••••••• I••

Former SEC-registered adviserMokena, IllinoisCRD 106588SEC 801-49898IAPD
Latest filing Apr 17, 2019
First filing on the tape Mar 9, 2012 · 14 filings
RAUM
$275M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
96%
$265M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$275M as of Mar 27, 2019
Mar 9, 2012$149M then
HNW client RAUM$205M as of Mar 27, 2019
Mar 15, 2018$208M then
State-registered IARs (5.B.3)5 as of Mar 27, 2019
Mar 9, 20120 then
Employees (5.A)5 as of Mar 27, 2019
Mar 20, 20134 then
Private funds: no history
RAUM +0.2% over the last fiscal year+9.5% a year over threeIARs 4 to 5
Practice profile
derived from the filing of Apr 17, 2019; every figure names its basis
RAUM per advisor
$55.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
48derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.2MderivedHNW RAUM over HNW clients
Average account
$446,281derivedRAUM over accounts (5.F.2.f)
Discretionary
91%derivedof RAUM
Institutional
3.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+0.2%derivedbetween the last two annual amendments
Advisor growth, one year
+25%derivedItem 5.B.3 between annual amendments
Client growth, one year
+8.7%derived
Compensation
percentage of assets, hourly, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
Custody
$110M, 126 clientsreportedItem 9.A
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$205M74%
  • Individuals$60.1M22%
  • Pension and profit-sharing plans$7.6M2.8%
  • Corporations and businesses$1.7M0.6%
  • Charitable organizations$1.2M0.4%
Individual clients
173reported
HNW clients
65reported
Pension plan clients
5reported
Charitable clients
1reported
Accounts
617reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$110M for 126 clientsreported
Compensation
% of AUM, 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
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
    • M•••••• T••••••• C••••• · Chief Compliance Officercontrol
      since 10/2004 · owns 75% or more
    • W•••••• T•••••• E••••• · Treasurer/Secretary
      since 01/1981 · owns less than 5%
    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 · 572 to 617
      Mar 15, 2018 to Mar 27, 2019
    • Advisory employees · 4 to 5
      Mar 15, 2018 to Mar 27, 2019
    • BD registered reps · 4 to 5
      Mar 15, 2018 to Mar 27, 2019
    • Corporate clients · 2 to 3
      Mar 15, 2018 to Mar 27, 2019
    • HNW clients · 64 to 65
      Mar 15, 2018 to Mar 27, 2019
    • Individual clients · 155 to 173
      Mar 15, 2018 to Mar 27, 2019
    • Pension plan clients · 4 to 5
      Mar 15, 2018 to Mar 27, 2019
    • Assets in custody · unset to 109680316.0
      Mar 15, 2018 to Mar 27, 2019
    • Custody of client assets · false to true
      Mar 15, 2018 to Mar 27, 2019
    • Employees · 4 to 5
      Mar 15, 2018 to Mar 27, 2019
    • Insurance-licensed employees · 1 to 2
      Mar 15, 2018 to Mar 27, 2019
    • State-registered IARs · 4 to 5
      Mar 15, 2018 to Mar 27, 2019
    • Discretionary RAUM · $255M to $251M
      Mar 15, 2018 to Mar 27, 2019
    • HNW RAUM · $208M to $205M
      Mar 15, 2018 to Mar 27, 2019
    • Individual RAUM · $54.8M to $60.1M
      Mar 15, 2018 to Mar 27, 2019
    • Non-discretionary RAUM · $19.9M to $24.3M
      Mar 15, 2018 to Mar 27, 2019
    • Pension RAUM · $10.0M to $7.6M
      Mar 15, 2018 to Mar 27, 2019
    • RAUM · $275M to $275M
      Mar 15, 2018 to Mar 27, 2019
    • Accounts · 510 to 572
      Feb 11, 2017 to Mar 15, 2018
    • Charity clients · unset to 1.0
      Feb 11, 2017 to Mar 15, 2018
    • Corporate clients · unset to 2.0
      Feb 11, 2017 to Mar 15, 2018
    • HNW clients · unset to 64.0
      Feb 11, 2017 to Mar 15, 2018
    • Individual clients · unset to 155.0
      Feb 11, 2017 to Mar 15, 2018
    • Pension plan clients · unset to 4.0
      Feb 11, 2017 to Mar 15, 2018
    • Pooled vehicle clients · unset to 0.0
      Feb 11, 2017 to Mar 15, 2018
    • Other offices · unset to 0.0
      Feb 11, 2017 to Mar 15, 2018
    • Discretionary RAUM · $218M to $255M
      Feb 11, 2017 to Mar 15, 2018
    • HNW RAUM · unset to 207590000.0
      Feb 11, 2017 to Mar 15, 2018
    • Individual RAUM · unset to 54805000.0
      Feb 11, 2017 to Mar 15, 2018
    • Non-discretionary RAUM · $13.3M to $19.9M
      Feb 11, 2017 to Mar 15, 2018
    • Pension RAUM · unset to 9967000.0
      Feb 11, 2017 to Mar 15, 2018
    • RAUM · $231M to $275M
      Feb 11, 2017 to Mar 15, 2018
    • Related insurance company · false to true
      Feb 11, 2017 to Mar 15, 2018
    • Accounts · 487 to 510
      Nov 11, 2016 to Feb 11, 2017
    • Discretionary RAUM · $197M to $218M
      Nov 11, 2016 to Feb 11, 2017
    • Non-discretionary RAUM · $12.9M to $13.3M
      Nov 11, 2016 to Feb 11, 2017
    • RAUM · $210M to $231M
      Nov 11, 2016 to Feb 11, 2017
    • Accounts · 503 to 487
      Mar 6, 2015 to Mar 23, 2016
    • Advisory activities · 2 to 3
      Mar 6, 2015 to Mar 23, 2016
    • Financial planning clients · 1-10 to 0
      Mar 6, 2015 to Mar 23, 2016
    Signals
    No event on the tape.
    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