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
N•• E•••••• R••••••• • M••••••••• I•••
Latest filing Aug 25, 2026
First filing on the tape Feb 2, 2012 · 21 filings
SEC status approved since Feb 16, 1979
RAUM
$337M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$330M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$112M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$337M as of Aug 25, 2026
Sep 19, 2012$137M then
HNW client RAUM$305M as of Aug 25, 2026
Sep 19, 2018$178M then
State-registered IARs (5.B.3)3 as of Aug 25, 2026
Sep 19, 20120 then
Employees (5.A)4 as of Aug 25, 2026
Sep 18, 20134 then
Private funds: no history
RAUM +29% over the last fiscal year+8.3% a year over threeIARs 1 to 3
Practice profile
derived from the filing of Aug 25, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $112MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 50derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.4MderivedHNW RAUM over HNW clients
- Average account
- $826,108derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -7.5%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $211M, 79 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
- 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)
- 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$305M90%
- Individuals$25.8M7.7%
- Pension and profit-sharing plans$6.6M2.0%
- Individual clients
- 79reported
- HNW clients
- 70reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 408reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $211M for 79 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 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 |
|---|---|---|---|---|
| M••••••••• M••• C•••••• | Chicago, Il | Dec 17, 2009 | 38 y | 0 |
| D•••• G••••••Chartered Financial Analyst | Chicago, Il | Sep 25, 2025 | 18 y | 0 |
| S••• F•••• | Chicago, Il | Nov 13, 2025 | 20 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
- C••••••• M••••••••• M••• · President And Chief Compliance Officercontrolsince 10/1990 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Chicago, Il · principal | 3 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Aug 25, 2026custody of client assets (Item 9.A): no on the filing of 2025-12-12, yes on the filing of 2026-08-25peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 377 to 408Dec 12, 2025 to Aug 25, 2026
- HNW clients · 75 to 70Dec 12, 2025 to Aug 25, 2026
- Individual clients · 97 to 79Dec 12, 2025 to Aug 25, 2026
- Pension plan clients · 4.0 to unsetDec 12, 2025 to Aug 25, 2026
- Assets in custody · unset to 210651653.0Dec 12, 2025 to Aug 25, 2026
- Custody of client assets · false to trueDec 12, 2025 to Aug 25, 2026
- Discretionary RAUM · $284M to $336MDec 12, 2025 to Aug 25, 2026
- HNW RAUM · $248M to $305MDec 12, 2025 to Aug 25, 2026
- Individual RAUM · $30.4M to $25.8MDec 12, 2025 to Aug 25, 2026
- Non-discretionary RAUM · $825,776 to $1.1MDec 12, 2025 to Aug 25, 2026
- Pension RAUM · $7.1M to $6.6MDec 12, 2025 to Aug 25, 2026
- RAUM · $285M to $337MDec 12, 2025 to Aug 25, 2026
- Accounts · 350 to 377Sep 20, 2024 to Sep 25, 2025
- HNW clients · 60 to 75Sep 20, 2024 to Sep 25, 2025
- Individual clients · 100 to 97Sep 20, 2024 to Sep 25, 2025
- Pension plan clients · 5 to 4Sep 20, 2024 to Sep 25, 2025
- Assets in custody · 264496202.0 to unsetSep 20, 2024 to Sep 25, 2025
- Custody of client assets · true to falseSep 20, 2024 to Sep 25, 2025
- Financial planning clients · 0 to 0Sep 20, 2024 to Sep 25, 2025
- State-registered IARs · 1 to 3Sep 20, 2024 to Sep 25, 2025
- Discretionary RAUM · $264M to $284MSep 20, 2024 to Sep 25, 2025
- HNW RAUM · $220M to $248MSep 20, 2024 to Sep 25, 2025
- Individual RAUM · $38.4M to $30.4MSep 20, 2024 to Sep 25, 2025
- Non-discretionary RAUM · $800,372 to $825,776Sep 20, 2024 to Sep 25, 2025
- Pension RAUM · $5.7M to $7.1MSep 20, 2024 to Sep 25, 2025
- RAUM · $264M to $285MSep 20, 2024 to Sep 25, 2025
- Accounts · 371 to 350Sep 18, 2023 to Sep 20, 2024
- HNW clients · 69 to 60Sep 18, 2023 to Sep 20, 2024
- Individual clients · 104 to 100Sep 18, 2023 to Sep 20, 2024
- Assets in custody · $243M to $264MSep 18, 2023 to Sep 20, 2024
- Discretionary RAUM · $261M to $264MSep 18, 2023 to Sep 20, 2024
- HNW RAUM · $221M to $220MSep 18, 2023 to Sep 20, 2024
- Individual RAUM · $35.5M to $38.4MSep 18, 2023 to Sep 20, 2024
- Non-discretionary RAUM · $798,268 to $800,372Sep 18, 2023 to Sep 20, 2024
- Pension RAUM · $4.9M to $5.7MSep 18, 2023 to Sep 20, 2024
- RAUM · $262M to $264MSep 18, 2023 to Sep 20, 2024
- Accounts · 360 to 371Sep 15, 2022 to Sep 18, 2023
- HNW clients · 65 to 69Sep 15, 2022 to Sep 18, 2023
- Individual clients · 100 to 104Sep 15, 2022 to Sep 18, 2023
- Assets in custody · $223M to $243MSep 15, 2022 to Sep 18, 2023
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.
How to reach
public business contact points only, each with its source
- Business phone
- 312-212-1704reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.n••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 312-212-1704reportedpublic record, Form ADV, Aug 25, 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
- $112Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026