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

C•••••• F•••••••• P••••••• L••

Independent wealth managerCRD 106622SEC 801-132223website IAPD

Latest filing Jan 27, 2026

First filing on the tape Jan 31, 2012 · 4 filings

SEC status approved since Mar 24, 2025

RAUM

$125M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$125M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$41.7M

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

4 filings and snapshots on the tape

RAUM$125M as of Jan 27, 2026

Jan 31, 2012$60.5M then

HNW client RAUM$0 as of Jan 27, 2026

Feb 19, 2025$0 then

State-registered IARs (5.B.3)3 as of Jan 27, 2026

Jan 31, 20120 then

Employees (5.A)3 as of Jan 27, 2026

Feb 19, 20253 then

Private funds: no history

RAUM +11% over the last fiscal yearIARs 3 to 3

Practice profile

derived from the filing of Jan 27, 2026; every figure names its basis

Archetypes, each a printed rule

Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM

RAUM per advisor: $41.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 33derivedindividual and HNW clients (5.D) over advisors
Average HNW client: unknownderivedHNW RAUM over HNW clients
Average account: $468,682derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +11%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +1.0%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: financial planning, portfolio management for individualsreportedItem 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

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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Individuals$125M100%

Individual clients: 99reported
HNW clients: 0reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 267reported
Financial planning clients: 51-100reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

3 on IAPD today, longest tenure first

Name	Branch	Here since	In industry
T••••• E••••• G•••••	St. Charles, Il	Jul 30, 2001	26 y
M•••••• F•••••• C••••••	St Charles, Il	May 2, 2012	43 y
R••••• T••••• G••••••Certified Financial Planner	St Charles, Il	Nov 20, 2014	15 y

Advisor movement

0 left, 0 joined in 12 months

net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

C••••••• M••••••• F•••••• · Ownercontrol
since 12/1983 · owns 75% or more
G•••••• T•••••• E••••• · Owner -Chief Compliance Officercontrol
since 05/2005 · owns 25% to 50%

Related persons

Schedule D 7.A

No related person reported.

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
St Charles, Il	3	0	0

Offices

Schedule D 1.F, the 25 largest

What changed

consecutive filings, newest first

Accounts · 264 to 267
Feb 19, 2025 to Jan 27, 2026
Individual clients · 98 to 99
Feb 19, 2025 to Jan 27, 2026
Discretionary RAUM · $113M to $125M
Feb 19, 2025 to Jan 27, 2026
Individual RAUM · $113M to $125M
Feb 19, 2025 to Jan 27, 2026
RAUM · $113M to $125M
Feb 19, 2025 to Jan 27, 2026
Accounts · 201 to 264
Apr 18, 2012 to Feb 19, 2025
Advisory employees · unset to 3.0
Apr 18, 2012 to Feb 19, 2025
Charity clients · unset to 0.0
Apr 18, 2012 to Feb 19, 2025
Corporate clients · unset to 0.0
Apr 18, 2012 to Feb 19, 2025
HNW clients · unset to 0.0
Apr 18, 2012 to Feb 19, 2025
Individual clients · unset to 98.0
Apr 18, 2012 to Feb 19, 2025
Pension plan clients · unset to 0.0
Apr 18, 2012 to Feb 19, 2025
Pooled vehicle clients · unset to 0.0
Apr 18, 2012 to Feb 19, 2025
Employees · unset to 3.0
Apr 18, 2012 to Feb 19, 2025
Financial planning clients · 51-100 to 51-100
Apr 18, 2012 to Feb 19, 2025
HQ city · unset to
Apr 18, 2012 to Feb 19, 2025
HQ state · unset to
Apr 18, 2012 to Feb 19, 2025
State-registered IARs · 0 to 3
Apr 18, 2012 to Feb 19, 2025
Other offices · unset to 1.0
Apr 18, 2012 to Feb 19, 2025
Discretionary RAUM · $60.5M to $113M
Apr 18, 2012 to Feb 19, 2025
HNW RAUM · unset to 0.0
Apr 18, 2012 to Feb 19, 2025
Individual RAUM · unset to 113069312.0
Apr 18, 2012 to Feb 19, 2025
Pension RAUM · unset to 0.0
Apr 18, 2012 to Feb 19, 2025
Pooled vehicle RAUM · unset to 0.0
Apr 18, 2012 to Feb 19, 2025
RAUM · $60.5M to $113M
Apr 18, 2012 to Feb 19, 2025
Business name · C••••••• M•••••• F•••••• to C•••••• F•••••••• P••••••• L••
Jan 31, 2012 to Apr 18, 2012
Legal name · C•••••• F•••••••• P••••••• to C•••••• F•••••••• P••••••• L••
Jan 31, 2012 to Apr 18, 2012
Succession · true to false
Jan 31, 2012 to Apr 18, 2012

Signals

1 dated events

C••••••• M•••••• F•••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
Jan 31, 2012 · Succession (Item 4) · 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: 630-549-0826reportedpublished by the firm, firm site, Sep 17, 2026
Website: C••••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 630-584-4508reportedpublic record, Form ADV, Jan 27, 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: $41.7Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026