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
A•••• M••••••••• G•••• L••
Legal name A•••• M••••••••• C•••••••••
Latest filing Mar 22, 2023
First filing on the tape Mar 12, 2012 · 29 filings
RAUM
$424M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$424M 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
29 filings and snapshots on the tape
RAUM$424M as of Mar 22, 2023
Mar 12, 2012$168M then
HNW client RAUM$352M as of Mar 22, 2023
Mar 20, 2018$300M then
State-registered IARs (5.B.3)3 as of Mar 22, 2023
Mar 27, 20131 then
Employees (5.A)3 as of Mar 22, 2023
Mar 27, 20133 then
Private funds: no history
RAUM -16% over the last fiscal year-1.4% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 22, 2023; every figure names its basis
- RAUM per advisor
- $141MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 115derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM 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
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -16%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $12.7M, 10 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
- 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)
- 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$352M83%
- Individuals$71.4M17%
- Individual clients
- 220reported
- HNW clients
- 125reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 345reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $12.7M for 10 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
Left, latest
- G•••• A••• M••••• to M•• C•••••• M••••••••• L••Aug 8, 2023 · RIA to RIA
- R••••• A••• H•••• to S•••••• W••••• A••••••• L••Aug 8, 2023 · RIA to RIA
- M••••••• P••••• H•••• to N••••••••• A•••• M••••••••• L••Apr 12, 2019 · RIA to RIA
Joined, latest
- M••••••• P••••• H•••• from S••••• P••••••• C•••••• M••••••••• L••Mar 18, 2016 · Other
- R••••• A••• H•••• from S••••• P••••••• C•••••• M••••••••• L••Mar 18, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from S••••• P••••••• C•••••• M••••••••• L••Oct 26, 2016 · Northbrook, Il
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• G••••• A••• · President, Secretary & Treasurer/Chief Compliance Officercontrolsince 03/1990 · owns 75% or more
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 · 481 to 345Mar 21, 2022 to Mar 22, 2023
- HNW clients · 151 to 125Mar 21, 2022 to Mar 22, 2023
- Individual clients · 261 to 220Mar 21, 2022 to Mar 22, 2023
- Assets in custody · $17.9M to $12.7MMar 21, 2022 to Mar 22, 2023
- Discretionary RAUM · $502M to $424MMar 21, 2022 to Mar 22, 2023
- HNW RAUM · $423M to $352MMar 21, 2022 to Mar 22, 2023
- Individual RAUM · $79.4M to $71.4MMar 21, 2022 to Mar 22, 2023
- RAUM · $502M to $424MMar 21, 2022 to Mar 22, 2023
- Accounts · 352 to 481Mar 18, 2021 to Mar 21, 2022
- BD registered reps · 1 to 0Mar 18, 2021 to Mar 21, 2022
- HNW clients · 164 to 151Mar 18, 2021 to Mar 21, 2022
- Individual clients · 242 to 261Mar 18, 2021 to Mar 21, 2022
- Assets in custody · $94.2M to $17.9MMar 18, 2021 to Mar 21, 2022
- Employees · 4 to 3Mar 18, 2021 to Mar 21, 2022
- Discretionary RAUM · $482M to $502MMar 18, 2021 to Mar 21, 2022
- HNW RAUM · $399M to $423MMar 18, 2021 to Mar 21, 2022
- Individual RAUM · $71.9M to $79.4MMar 18, 2021 to Mar 21, 2022
- RAUM · $482M to $502MMar 18, 2021 to Mar 21, 2022
- Accounts · 343 to 352Jul 24, 2020 to Mar 18, 2021
- HNW clients · 115 to 164Jul 24, 2020 to Mar 18, 2021
- Individual clients · 228 to 242Jul 24, 2020 to Mar 18, 2021
- Pension plan clients · 3.0 to unsetJul 24, 2020 to Mar 18, 2021
- Assets in custody · $72.1M to $94.2MJul 24, 2020 to Mar 18, 2021
- Employees · 5 to 4Jul 24, 2020 to Mar 18, 2021
- Discretionary RAUM · $442M to $482MJul 24, 2020 to Mar 18, 2021
- HNW RAUM · $341M to $399MJul 24, 2020 to Mar 18, 2021
- Individual RAUM · $80.3M to $71.9MJul 24, 2020 to Mar 18, 2021
- Pension RAUM · 5801568.0 to unsetJul 24, 2020 to Mar 18, 2021
- RAUM · $442M to $482MJul 24, 2020 to Mar 18, 2021
- Assets in custody · unset to 72079914.0Jun 11, 2020 to Jul 24, 2020
- Custody of client assets · false to trueJun 11, 2020 to Jul 24, 2020
- Accounts · 543 to 343Jun 10, 2019 to Mar 16, 2020
- Advisory employees · 4 to 3Jun 10, 2019 to Mar 16, 2020
- HNW clients · 147 to 115Jun 10, 2019 to Mar 16, 2020
- Individual clients · 246 to 228Jun 10, 2019 to Mar 16, 2020
- Pension plan clients · 7 to 3Jun 10, 2019 to Mar 16, 2020
- State-registered IARs · 4 to 3Jun 10, 2019 to Mar 16, 2020
- Discretionary RAUM · $405M to $442MJun 10, 2019 to Mar 16, 2020
- HNW RAUM · $295M to $341MJun 10, 2019 to Mar 16, 2020
- Individual RAUM · $95.9M to $80.3MJun 10, 2019 to Mar 16, 2020
Signals
2 dated events
- R••••• A••• H•••• left A•••• M••••••••• G•••• L•• for S•••••• W••••• A••••••• L•• (registered 2023-06-21)Aug 8, 2023 · Advisor changed firm · fact
- G•••• A••• M••••• left A•••• M••••••••• G•••• L•• for M•• C•••••• M••••••••• L•• (registered 2023-08-17)Aug 8, 2023 · Advisor changed firm · fact
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