DFX Intelligence
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H••••• F•••••••• A••••••• S••••••• I••
Independent wealth managerSEC-registered
Independent wealth manager, reporting $196M of regulatory assets across 1 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $196M
- Advisors
- 1
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +7.6%
- Private clients
- 100% of RAUM, $195M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- HNW share of RAUM 0.82599738553317
- Contact points 1
Every filed figure, and the identifiersCRD 108550 · SEC 801-113269 · 11 filingsShowHide
CRD 108550SEC 801-113269First filing on the tape Apr 20, 2018, latest Feb 13, 2026SEC status approved since May 22, 2018IAPD
RAUM
$196M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$195M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$196M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$196M as of Feb 13, 2026
Mar 25, 2019$126M then
HNW client RAUM$162M as of Feb 13, 2026
Mar 25, 2019$76.9M then
State-registered IARs (5.B.3)1 as of Feb 13, 2026
Mar 25, 20191 then
Employees (5.A)1 as of Feb 13, 2026
Mar 25, 20191 then
Private funds: no history
RAUM +7.6% over the last fiscal year+11% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 13, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $196MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 42derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $27.0MderivedHNW RAUM over HNW clients
- Average account
- $5.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$162M83%
- Individuals$33.5M17%
- Charitable organizations$568,5000.3%
- Individual clients
- 36reported
- HNW clients
- 6reported
- Pension plan clients
- 0reported
- Charitable clients
- 2reported
- Accounts
- 37reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• S•••• H•••••Certified Financial Planner, Chartered Financial Analyst | Chicago, Il | Apr 14, 1998 | 34 y | 0 |
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• M••••••• S•••• · Chief Compliance Officercontrolsince 01/2003 · owns 75% or more
Related persons
Schedule D 7.A
- M•••••• S•••• H•••••insurancen
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Feb 13, 2026HNW share of RAUM moved from 65.0% to 83.0% between the annual amendments of 2025-02-10 and 2026-02-13peers: independent wealth managers, $100M to $500M (5,679)
What changed
consecutive filings, newest first
- Accounts · 44 to 37Feb 10, 2025 to Feb 13, 2026
- Discretionary RAUM · $182M to $196MFeb 10, 2025 to Feb 13, 2026
- HNW RAUM · $118M to $162MFeb 10, 2025 to Feb 13, 2026
- Individual RAUM · $62.9M to $33.5MFeb 10, 2025 to Feb 13, 2026
- RAUM · $182M to $196MFeb 10, 2025 to Feb 13, 2026
- Accounts · 110 to 44Feb 2, 2024 to Feb 10, 2025
- HNW clients · 5 to 6Feb 2, 2024 to Feb 10, 2025
- Individual clients · 35 to 36Feb 2, 2024 to Feb 10, 2025
- Financial planning clients · 1-10 to 1-10Feb 2, 2024 to Feb 10, 2025
- HQ city · unset to Feb 2, 2024 to Feb 10, 2025
- HQ state · unset to Feb 2, 2024 to Feb 10, 2025
- Discretionary RAUM · $166M to $182MFeb 2, 2024 to Feb 10, 2025
- HNW RAUM · $118M to $118MFeb 2, 2024 to Feb 10, 2025
- Individual RAUM · $46.8M to $62.9MFeb 2, 2024 to Feb 10, 2025
- RAUM · $166M to $182MFeb 2, 2024 to Feb 10, 2025
- Accounts · 33 to 110Feb 5, 2023 to Feb 2, 2024
- Individual clients · 26 to 35Feb 5, 2023 to Feb 2, 2024
- Financial planning clients · 0 to 1-10Feb 5, 2023 to Feb 2, 2024
- Discretionary RAUM · $142M to $166MFeb 5, 2023 to Feb 2, 2024
- HNW RAUM · $101M to $118MFeb 5, 2023 to Feb 2, 2024
- Individual RAUM · $39.6M to $46.8MFeb 5, 2023 to Feb 2, 2024
- RAUM · $142M to $166MFeb 5, 2023 to Feb 2, 2024
- Accounts · 35 to 33Feb 8, 2022 to Feb 5, 2023
- HNW clients · 6 to 5Feb 8, 2022 to Feb 5, 2023
- Individual clients · 39 to 26Feb 8, 2022 to Feb 5, 2023
- Discretionary RAUM · $171M to $142MFeb 8, 2022 to Feb 5, 2023
- HNW RAUM · $122M to $101MFeb 8, 2022 to Feb 5, 2023
- Individual RAUM · $48.2M to $39.6MFeb 8, 2022 to Feb 5, 2023
- RAUM · $171M to $142MFeb 8, 2022 to Feb 5, 2023
- Accounts · 37 to 35Feb 23, 2021 to Feb 8, 2022
- Discretionary RAUM · $147M to $171MFeb 23, 2021 to Feb 8, 2022
- HNW RAUM · $101M to $122MFeb 23, 2021 to Feb 8, 2022
- Individual RAUM · $45.0M to $48.2MFeb 23, 2021 to Feb 8, 2022
- RAUM · $147M to $171MFeb 23, 2021 to Feb 8, 2022
- Accounts · 44 to 37Jun 17, 2020 to Feb 23, 2021
- Financial planning clients · 1-10 to 0Jun 17, 2020 to Feb 23, 2021
- Discretionary RAUM · $121M to $147MJun 17, 2020 to Feb 23, 2021
- HNW RAUM · $77.7M to $101MJun 17, 2020 to Feb 23, 2021
- Individual RAUM · $42.7M to $45.0MJun 17, 2020 to Feb 23, 2021
- RAUM · $121M to $147MJun 17, 2020 to Feb 23, 2021
Signals
1 dated events
- ••• LockedApr 20, 2018 · First SEC registration · 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
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Feb 13, 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
- $196Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026