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 adviserSt. Louis, MissouriCRD 106956SEC 801-33091IAPD
Legal name F•••••••• C••••••••• I••
Latest filing Mar 27, 2020
First filing on the tape Mar 27, 2012 · 16 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$3.2B as of Mar 29, 2017
Mar 28, 2013$3.3B then
HNW client RAUM$0 as of Mar 27, 2020
Mar 29, 2018$0 then
State-registered IARs (5.B.3)1 as of Mar 27, 2020
Mar 28, 20130 then
Employees (5.A)1 as of Mar 27, 2020
Mar 28, 20132 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 27, 2020; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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 assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
pension consulting, selection of other advisersreportedItem 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
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
0reported
HNW clients
0reported
Pension plan clients
20reported
Charitable clients
0reported
Accounts
n/areported
Financial planning clients
0reported
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
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
    • W•••••• B••••• M••••••• · President/Ceocontrol
      since 12/2012 · owns less than 5%
    • W•••••• B••••• M••••••• · President/Ceocontrol
      since 12/2012 · owns 25% to 50% of M•••••••• A••••••••• I•••
    • H•••••• T••••••• J•• · Chief Compliance Officer
      since 12/2012 · owns less than 5%
    Entity owners
    • M•••••••• A••••••••• I••• · Owner
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    • Chicago, IL30 employees
    What changed
    consecutive filings, newest first
    • Business name · F•••••••• C••••••••• I•• to M•••••••• A••••••••• I•••
      May 30, 2019 to Mar 27, 2020
    • Pension plan clients · 18 to 20
      May 30, 2019 to Mar 27, 2020
    • Accounts · 18.0 to unset
      Aug 16, 2017 to Mar 29, 2018
    • Charity clients · unset to 0.0
      Aug 16, 2017 to Mar 29, 2018
    • Corporate clients · unset to 0.0
      Aug 16, 2017 to Mar 29, 2018
    • HNW clients · unset to 0.0
      Aug 16, 2017 to Mar 29, 2018
    • Individual clients · unset to 0.0
      Aug 16, 2017 to Mar 29, 2018
    • Pension plan clients · unset to 18.0
      Aug 16, 2017 to Mar 29, 2018
    • Pooled vehicle clients · unset to 0.0
      Aug 16, 2017 to Mar 29, 2018
    • Financial planning clients · unset to 0
      Aug 16, 2017 to Mar 29, 2018
    • Other offices · unset to 1.0
      Aug 16, 2017 to Mar 29, 2018
    • Discretionary RAUM · 0.0 to unset
      Aug 16, 2017 to Mar 29, 2018
    • HNW RAUM · unset to 0.0
      Aug 16, 2017 to Mar 29, 2018
    • Individual RAUM · unset to 0.0
      Aug 16, 2017 to Mar 29, 2018
    • Non-discretionary RAUM · 3327639612.0 to unset
      Aug 16, 2017 to Mar 29, 2018
    • Pension RAUM · unset to 0.0
      Aug 16, 2017 to Mar 29, 2018
    • Pooled vehicle RAUM · unset to 0.0
      Aug 16, 2017 to Mar 29, 2018
    • RAUM · 3327639612.0 to unset
      Aug 16, 2017 to Mar 29, 2018
    • Non-discretionary RAUM · $3.2B to $3.3B
      Jun 13, 2017 to Aug 16, 2017
    • RAUM · $3.2B to $3.3B
      Jun 13, 2017 to Aug 16, 2017
    • Accounts · 28 to 18
      Mar 30, 2016 to Mar 29, 2017
    • Non-discretionary RAUM · $4.6B to $3.2B
      Mar 30, 2016 to Mar 29, 2017
    • RAUM · $4.6B to $3.2B
      Mar 30, 2016 to Mar 29, 2017
    • Accounts · 30 to 28
      Mar 27, 2015 to Mar 30, 2016
    • State-registered IARs · 0 to 1
      Mar 27, 2015 to Mar 30, 2016
    • Non-discretionary RAUM · $4.7B to $4.6B
      Mar 27, 2015 to Mar 30, 2016
    • RAUM · $4.7B to $4.6B
      Mar 27, 2015 to Mar 30, 2016
    • Related adviser · false to true
      Mar 27, 2015 to Mar 30, 2016
    • Accounts · 28 to 30
      Mar 31, 2014 to Mar 27, 2015
    • Employees · 2 to 1
      Mar 31, 2014 to Mar 27, 2015
    • Non-discretionary RAUM · $4.4B to $4.7B
      Mar 31, 2014 to Mar 27, 2015
    • RAUM · $4.4B to $4.7B
      Mar 31, 2014 to Mar 27, 2015
    • Accounts · 20 to 28
      Mar 28, 2013 to Mar 31, 2014
    • Advisory employees · 2 to 1
      Mar 28, 2013 to Mar 31, 2014
    • Non-discretionary RAUM · $3.3B to $4.4B
      Mar 28, 2013 to Mar 31, 2014
    • RAUM · $3.3B to $4.4B
      Mar 28, 2013 to Mar 31, 2014
    • Related broker-dealer · true to false
      Mar 28, 2013 to Mar 31, 2014
    • Accounts · unset to 20.0
      Feb 4, 2013 to Mar 28, 2013
    • Advisory employees · 4 to 2
      Feb 4, 2013 to Mar 28, 2013
    • BD registered reps · 3 to 0
      Feb 4, 2013 to Mar 28, 2013
    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