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
P•••••• M• S•••••• • A••••••••• I••
Latest filing Mar 25, 2026
First filing on the tape Mar 8, 2012 · 12 filings
SEC status approved since Jun 16, 2020
RAUM
$253M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$253M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$84.2M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$253M as of Mar 25, 2026
Mar 8, 2012$47.2M then
HNW client RAUM$238M as of Mar 25, 2026
Mar 12, 2021$123M then
State-registered IARs (5.B.3)2 as of Mar 25, 2026
Mar 8, 20120 then
Employees (5.A)2 as of Mar 25, 2026
Mar 12, 20212 then
Private funds: no history
RAUM +16% over the last fiscal year+22% a year over threeIARs 2 to 2offices 0 to 1
Practice profile
derived from the filing of Mar 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
- RAUM per advisor
- $84.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 29derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.3MderivedHNW RAUM over HNW clients
- Average account
- $827,995derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.7derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 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
- +3.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$238M94%
- Individuals$14.5M5.8%
- Individual clients
- 31reported
- HNW clients
- 55reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 305reported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••••• M•••••• S••••••Certified Financial Planner | Libertyville, Il | Jan 27, 2009 | 30 y | 1 |
| J••• G••••••• F•••••••Certified Financial Planner | Barrington, Il | May 7, 2021 | 13 y | 0 |
| J••• M••••••• H••••••Certified Financial Planner | Libertyville, Il | Aug 6, 2026 | 10 y | 2 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 33% of current headcount1 left over 36 months
Left, latest
- J••• M•••••• R•••• to D•• W••••• M•••••••••Oct 24, 2025 · RIA to RIA
Joined, latest
- J••• M••••••• H•••••• from R•••••• J•••• • A••••••••• I•••Aug 6, 2026 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• P••••••• M•••••• · President, Chief Compliance Officercontrolsince 04/2001 · 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 |
|---|---|---|---|---|---|
| Libertyville, Il · principal | 2 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 293 to 305Mar 3, 2025 to Mar 25, 2026
- HNW clients · 53 to 55Mar 3, 2025 to Mar 25, 2026
- Individual clients · 30 to 31Mar 3, 2025 to Mar 25, 2026
- Employees · 3 to 2Mar 3, 2025 to Mar 25, 2026
- Other offices · 0 to 1Mar 3, 2025 to Mar 25, 2026
- Discretionary RAUM · $216M to $251MMar 3, 2025 to Mar 25, 2026
- HNW RAUM · $204M to $238MMar 3, 2025 to Mar 25, 2026
- Individual RAUM · $13.1M to $14.5MMar 3, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $1.1M to $1.2MMar 3, 2025 to Mar 25, 2026
- RAUM · $217M to $253MMar 3, 2025 to Mar 25, 2026
- Accounts · 263 to 293Feb 26, 2024 to Mar 3, 2025
- HNW clients · 45 to 53Feb 26, 2024 to Mar 3, 2025
- Individual clients · 34 to 30Feb 26, 2024 to Mar 3, 2025
- Financial planning clients · 1-10 to 1-10Feb 26, 2024 to Mar 3, 2025
- Discretionary RAUM · $1.0M to $216MFeb 26, 2024 to Mar 3, 2025
- HNW RAUM · $171M to $204MFeb 26, 2024 to Mar 3, 2025
- Individual RAUM · $13.4M to $13.1MFeb 26, 2024 to Mar 3, 2025
- Non-discretionary RAUM · $184M to $1.1MFeb 26, 2024 to Mar 3, 2025
- RAUM · $185M to $217MFeb 26, 2024 to Mar 3, 2025
- Accounts · 215 to 263Mar 21, 2023 to Feb 26, 2024
- HNW clients · 35 to 45Mar 21, 2023 to Feb 26, 2024
- Individual clients · 32 to 34Mar 21, 2023 to Feb 26, 2024
- Employees · 2 to 3Mar 21, 2023 to Feb 26, 2024
- Discretionary RAUM · $136M to $1.0MMar 21, 2023 to Feb 26, 2024
- HNW RAUM · $124M to $171MMar 21, 2023 to Feb 26, 2024
- Individual RAUM · $13.6M to $13.4MMar 21, 2023 to Feb 26, 2024
- Non-discretionary RAUM · $933,386 to $184MMar 21, 2023 to Feb 26, 2024
- RAUM · $137M to $185MMar 21, 2023 to Feb 26, 2024
- Accounts · 207 to 215Mar 1, 2022 to Mar 21, 2023
- HNW clients · 38 to 35Mar 1, 2022 to Mar 21, 2023
- Individual clients · 29 to 32Mar 1, 2022 to Mar 21, 2023
- Discretionary RAUM · $154M to $136MMar 1, 2022 to Mar 21, 2023
- HNW RAUM · $148M to $124MMar 1, 2022 to Mar 21, 2023
- Individual RAUM · $12.6M to $13.6MMar 1, 2022 to Mar 21, 2023
- Non-discretionary RAUM · $7.1M to $933,386Mar 1, 2022 to Mar 21, 2023
- RAUM · $161M to $137MMar 1, 2022 to Mar 21, 2023
- Accounts · 191 to 207Jan 12, 2022 to Mar 1, 2022
- Advisory employees · 1 to 2Jan 12, 2022 to Mar 1, 2022
- HNW clients · 36 to 38Jan 12, 2022 to Mar 1, 2022
- Individual clients · 27 to 29Jan 12, 2022 to Mar 1, 2022
Signals
2 dated events
- J••• M•••••• R•••• left P•••••• M• S•••••• • A••••••••• I•• for D•• W••••• M••••••••• (registered 2025-11-12)Oct 24, 2025 · Advisor changed firm · fact
- P•••••• M• S•••••• • A••••••••• I•• filed its initial SEC registration (Form ADV)May 13, 2020 · 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
- Business email
- j•••@p•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 847-277-7771reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- P••••••MS••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 847 277-7771reportedpublic record, Form ADV, Mar 25, 2026
- Contact form
- p•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Team page
- p•••••••••.comreportedpublished 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
- $84.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026