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
C•• F•••••••• P•••••••• I•••
Legal name C•••••••• T•• S••••••• I•••
Latest filing Dec 23, 2025
First filing on the tape Dec 23, 2011 · 28 filings
SEC status approved since Nov 22, 1985
RAUM
$314M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$314M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$78.5M
derived; firm RAUM over IAPD count
Employees
9
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$314M as of Dec 23, 2025
Dec 23, 2011$196M then
HNW client RAUM$262M as of Dec 23, 2025
Dec 22, 2017$210M then
State-registered IARs (5.B.3)4 as of Dec 23, 2025
Dec 14, 20122 then
Employees (5.A)9 as of Dec 23, 2025
Dec 14, 20125 then
Private funds: no history
RAUM +14% over the last fiscal year+0.6% a year over threeIARs 4 to 4offices 0 to 1
Practice profile
derived from the filing of Dec 23, 2025; 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
- RAUM per advisor
- $78.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 62derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $428,769derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $99.5M, 111 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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$262M84%
- Individuals$51.5M16%
- Individual clients
- 160reported
- HNW clients
- 89reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 732reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $99.5M for 111 clientsreported
- 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
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••• W•••• M•••Certified Financial Planner | Westlake Village, Ca | Jan 12, 1998 | 45 y | 0 |
| C•••••• A•••••• M•••••Certified Financial Planner | Chicago, Il | Jan 12, 1998 | 41 y | 0 |
| C••••••••• T••• M•••Certified Financial Planner | Chicago, Il | Nov 13, 2013 | 23 y | 2 |
| J••••••• C•••• M•••Chartered Financial Consultant | Chicago, Il | Jun 23, 2015 | 11 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
- C••••••••• T••• M••• from M••••• S•••••• D• I•••Feb 14, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• C••••••• A•••••• · Executive Vice President / Chief Compliance Officercontrolsince 10/1984 · owns 25% to 50%
- M•••• C••••••••• T••• · Vice President And Chief Investment Officercontrolsince 10/2013 · owns 10% to 25%
- M•••• J•••••••• C•••• · Vice President And Chief Operating Officercontrolsince 06/2015 · owns 10% to 25%
- M•••• T•••• W•••• · President And Chief Executive Officercontrolsince 08/1981 · owns 25% to 50%
Related persons
Schedule D 7.A
- C•••••••• I•••••••• C••••••••• I•••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Chicago, Il · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 725 to 732Dec 20, 2024 to Dec 23, 2025
- Individual clients · 158 to 160Dec 20, 2024 to Dec 23, 2025
- Assets in custody · $85.3M to $99.5MDec 20, 2024 to Dec 23, 2025
- Employees · 8 to 9Dec 20, 2024 to Dec 23, 2025
- Financial planning clients · 1-10 to 1-10Dec 20, 2024 to Dec 23, 2025
- Discretionary RAUM · $299M to $314MDec 20, 2024 to Dec 23, 2025
- HNW RAUM · $249M to $262MDec 20, 2024 to Dec 23, 2025
- Individual RAUM · $49.4M to $51.5MDec 20, 2024 to Dec 23, 2025
- RAUM · $299M to $314MDec 20, 2024 to Dec 23, 2025
- Accounts · 731 to 725Dec 22, 2023 to Dec 20, 2024
- HNW clients · 85 to 89Dec 22, 2023 to Dec 20, 2024
- Individual clients · 159 to 158Dec 22, 2023 to Dec 20, 2024
- Assets in custody · $68.2M to $85.3MDec 22, 2023 to Dec 20, 2024
- Other offices · 0 to 1Dec 22, 2023 to Dec 20, 2024
- Discretionary RAUM · $274M to $299MDec 22, 2023 to Dec 20, 2024
- HNW RAUM · $226M to $249MDec 22, 2023 to Dec 20, 2024
- Individual RAUM · $48.0M to $49.4MDec 22, 2023 to Dec 20, 2024
- RAUM · $274M to $299MDec 22, 2023 to Dec 20, 2024
- Accounts · 754 to 731Dec 21, 2022 to Dec 22, 2023
- HNW clients · 84 to 85Dec 21, 2022 to Dec 22, 2023
- Individual clients · 165 to 159Dec 21, 2022 to Dec 22, 2023
- Assets in custody · $63.6M to $68.2MDec 21, 2022 to Dec 22, 2023
- Discretionary RAUM · $266M to $274MDec 21, 2022 to Dec 22, 2023
- HNW RAUM · $217M to $226MDec 21, 2022 to Dec 22, 2023
- Individual RAUM · $49.3M to $48.0MDec 21, 2022 to Dec 22, 2023
- RAUM · $266M to $274MDec 21, 2022 to Dec 22, 2023
- Accounts · 748 to 754Dec 22, 2021 to Dec 21, 2022
- HNW clients · 92 to 84Dec 22, 2021 to Dec 21, 2022
- Individual clients · 153 to 165Dec 22, 2021 to Dec 21, 2022
- Assets in custody · $77.6M to $63.6MDec 22, 2021 to Dec 21, 2022
- Employees · 9 to 8Dec 22, 2021 to Dec 21, 2022
- Discretionary RAUM · $308M to $266MDec 22, 2021 to Dec 21, 2022
- HNW RAUM · $260M to $217MDec 22, 2021 to Dec 21, 2022
- Individual RAUM · $48.5M to $49.3MDec 22, 2021 to Dec 21, 2022
- RAUM · $308M to $266MDec 22, 2021 to Dec 21, 2022
- Accounts · 708 to 748Apr 21, 2021 to Dec 22, 2021
- HNW clients · 82 to 92Apr 21, 2021 to Dec 22, 2021
- Individual clients · 156 to 153Apr 21, 2021 to Dec 22, 2021
- Assets in custody · $61.0M to $77.6MApr 21, 2021 to Dec 22, 2021
- Employees · 8 to 9Apr 21, 2021 to Dec 22, 2021
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
- 312-337-1040reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- CTSFINANCIALGROUP.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 312-337-1040reportedpublic record, Form ADV, Dec 23, 2025
- Contact form
- CTSFINANCIALGROUP.COM/contact-usreportedpublished by the firm, firm site, Sep 17, 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
- $78.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026