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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SEC-registered adviser
M••••• F•••• M•••••••••
Legal name M••••• F•••• M••••••••• L•••
Latest filing Feb 25, 2026
First filing on the tape Mar 29, 2012 · 20 filings
SEC status approved since Aug 14, 1995
RAUM
$218M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$218M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$72.6M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$218M as of Feb 25, 2026
Mar 29, 2012$135M then
HNW client RAUM$133M as of Feb 25, 2026
Mar 10, 2022$129M then
State-registered IARs (5.B.3)2 as of Feb 25, 2026
Mar 29, 20120 then
Employees (5.A)3 as of Feb 25, 2026
Mar 19, 20135 then
Private funds: no history
RAUM +5.7% over the last fiscal year+9.8% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 25, 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
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $72.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 56derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $461,599derivedRAUM 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
- +5.7%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 assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, publicationsreportedItem 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
- 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$133M61%
- Individuals$84.9M39%
- Individual clients
- 110reported
- HNW clients
- 57reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 472reported
- 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 | Prior firms |
|---|---|---|---|---|
| J••••• M••••• | Oak Park, Il | Dec 8, 1997 | 30 y | 0 |
| M•••••• J••••• M••••• | Oak Park, Il | May 7, 1999 | 32 y | 0 |
| D••••• J••••• M••••• | Oak Park, Il | Nov 13, 2007 | 26 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
- T•••••• J••••• M••••• to M••••• S••••••Apr 2, 2014 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• D•••••• J••••• · Vice Presidentcontrolsince 12/2011 · owns 50% to 75%
- M•••••• M••••••• J••••• · Chief Compliance Officercontrolsince 05/2009 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Oak Park, Il · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 469 to 472Feb 22, 2025 to Feb 25, 2026
- HNW clients · 55 to 57Feb 22, 2025 to Feb 25, 2026
- Individual clients · 112 to 110Feb 22, 2025 to Feb 25, 2026
- Discretionary RAUM · $206M to $218MFeb 22, 2025 to Feb 25, 2026
- Individual RAUM · $73.1M to $84.9MFeb 22, 2025 to Feb 25, 2026
- RAUM · $206M to $218MFeb 22, 2025 to Feb 25, 2026
- Accounts · 347 to 469Mar 7, 2024 to Feb 22, 2025
- HNW clients · 46 to 55Mar 7, 2024 to Feb 22, 2025
- Individual clients · 227 to 112Mar 7, 2024 to Feb 22, 2025
- Financial planning clients · 51-100 to 51-100Mar 7, 2024 to Feb 22, 2025
- Discretionary RAUM · $191M to $206MMar 7, 2024 to Feb 22, 2025
- HNW RAUM · $116M to $133MMar 7, 2024 to Feb 22, 2025
- Individual RAUM · $75.0M to $73.1MMar 7, 2024 to Feb 22, 2025
- RAUM · $191M to $206MMar 7, 2024 to Feb 22, 2025
- Accounts · 225 to 347Mar 6, 2023 to Mar 7, 2024
- HNW clients · 42 to 46Mar 6, 2023 to Mar 7, 2024
- Individual clients · 183 to 227Mar 6, 2023 to Mar 7, 2024
- Discretionary RAUM · $165M to $191MMar 6, 2023 to Mar 7, 2024
- HNW RAUM · $120M to $116MMar 6, 2023 to Mar 7, 2024
- Individual RAUM · $44.6M to $75.0MMar 6, 2023 to Mar 7, 2024
- RAUM · $165M to $191MMar 6, 2023 to Mar 7, 2024
- Accounts · 220 to 225Mar 10, 2022 to Feb 27, 2023
- HNW clients · 41 to 42Mar 10, 2022 to Feb 27, 2023
- Individual clients · 179 to 183Mar 10, 2022 to Feb 27, 2023
- Discretionary RAUM · $192M to $165MMar 10, 2022 to Feb 27, 2023
- HNW RAUM · $129M to $120MMar 10, 2022 to Feb 27, 2023
- Individual RAUM · $62.6M to $44.6MMar 10, 2022 to Feb 27, 2023
- RAUM · $192M to $165MMar 10, 2022 to Feb 27, 2023
- Accounts · 190 to 220Aug 19, 2021 to Mar 10, 2022
- HNW clients · unset to 41.0Aug 19, 2021 to Mar 10, 2022
- Individual clients · 190 to 179Aug 19, 2021 to Mar 10, 2022
- State-registered IARs · 0 to 2Aug 19, 2021 to Mar 10, 2022
- Discretionary RAUM · $203M to $192MAug 19, 2021 to Mar 10, 2022
- HNW RAUM · unset to 129000000.0Aug 19, 2021 to Mar 10, 2022
- Individual RAUM · $203M to $62.6MAug 19, 2021 to Mar 10, 2022
- RAUM · $203M to $192MAug 19, 2021 to Mar 10, 2022
- Accounts · 180 to 190Mar 24, 2020 to Mar 17, 2021
- Individual clients · 180 to 190Mar 24, 2020 to Mar 17, 2021
- Discretionary RAUM · $198M to $203MMar 24, 2020 to Mar 17, 2021
- Individual RAUM · $198M to $203MMar 24, 2020 to Mar 17, 2021
Signals
1 dated events
- J••••• M••••• (President) no longer on Schedule A of M••••• F•••• M••••••••• (listed 2018-03-20, absent 2019-03-19)Mar 19, 2019 · Control person left · inference
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 email
- a•••••••@m•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 708-848-3200reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 708-848-9442reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- M•••••FUNDS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 708-848-3200reportedpublic record, Form ADV, Feb 25, 2026
- Contact form
- m•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $72.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026