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RIA Intelligence

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SEC-registered adviser

M••••• • S••••••••• W••••• M••••••••• L••

Independent wealth managerLincolnshire, IllinoisCRD 118366SEC 801-126430website IAPD

Latest filing Jan 16, 2026

First filing on the tape Jul 22, 2022 · 19 filings

SEC status approved since Aug 23, 2022

RAUM

$524M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$523M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$87.4M

derived; firm RAUM over IAPD count

Employees

6 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

19 filings and snapshots on the tape

RAUM$524M as of Jan 16, 2026

Mar 3, 2023$182M then

HNW client RAUM$513M as of Jan 16, 2026

Mar 3, 2023$178M then

State-registered IARs (5.B.3)6 as of Jan 16, 2026

Mar 3, 20235 then

Employees (5.A)10 as of Jan 16, 2026

Mar 3, 20237 then

Private funds: no history

RAUM +35% over the last fiscal year+42% a year over threeIARs 6 to 6

Practice profile

derived from the filing of Jan 16, 2026; every figure names its basis

RAUM per advisor: $87.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 30derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $3.7MderivedHNW RAUM over HNW clients
Average account: $656,324derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.7derivedItem 5.A over advisors
Advisors per office: 2.0derived3 offices incl. principal (1.F.5)
RAUM growth, one year: +35%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +12%derived
Compensation: percentage of assets, commissionsreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
Custody: $459M, 110 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$513M98%
Individuals$9.8M1.9%
Charitable organizations$801,7880.2%
Corporations and businesses$576,6610.1%

Individual clients: 42reported
HNW clients: 138reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 799reported
Financial planning clients: 101-250reported
Wrap fee programs: noreported
Custody of client assets: $459M for 110 clientsreported
Compensation: % of AUM, commissionsreported
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

6 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
J•••••• L••• M•••••Certified Financial Planner	Lincolnshire, Il	Oct 29, 1999	29 y	0
K•••• A•••••• S•••••••••	Lincolnshire, Il	Oct 29, 1999	29 y	0
M•••••• A•••••• D••••••Personal Financial Specialist	Lincolnshire, Il	Jan 10, 2022	15 y	0
K•••••• M•••••• M•••••••••	Lincolnshire, Il	Apr 25, 2022	21 y	1
K••••••••• M••••••••	Lake Forest, Il	Jun 10, 2022	24 y	1
A••••• J• H•••••Certified Financial Planner, Chartered Financial Analyst	Lake Forest, Il	Jan 24, 2025	11 y	4

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 headcount2 left over 36 months

Left, latest

M•••••• S•••••• to E••••• J••••
Aug 2, 2024 · RIA to affiliated broker-dealer or bank
S••••• L••••••••• to C•••••• W••••• M••••••••• L••
Oct 25, 2023 · RIA to RIA
S••••• J••• G••••••• to S••••• W••••• M•••••••••
Mar 25, 2022 · RIA to RIA

Joined, latest

A••••• J• H••••• from B•••••• P••••• W••••• M•••••••
Jan 24, 2025 · RIA to RIA
K••••••••• M•••••••• from C••• C••••••• L••
Jun 10, 2022 · RIA to RIA
K•••••• M•••••• M••••••••• from C••• C••••••• L••
Apr 25, 2022 · RIA to RIA
S••••• L••••••••• from M••••• O• O•••• I••••••• S•••••••• I•••
Mar 23, 2022 · RIA to RIA
S••••• J••• G••••••• from B•• H••••• F•••••••• A•••••••• I••
Feb 15, 2017 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

D••••••• M••••••• A•••••• · Membercontrol
since 01/2022 · owns 25% to 50%
M•••••• J••••••• L••• · Membercontrol
since 07/1998 · owns 25% to 50%
S••••••••• K••••• A•••••• · Member/Chief Compliance Officercontrol
since 07/1998 · owns 25% to 50%

Related persons

Schedule D 7.A

M••••• • S••••••••• L••
insurancey

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Lincolnshire, Il · principal	6	0	0
Lake Forest, Il	4	0	0

Offices

Schedule D 1.F, the 25 largest

Lake Forest, IL4 employees
Chicago, IL1 employees

What changed

consecutive filings, newest first

Accounts · 721 to 799
Dec 19, 2025 to Jan 16, 2026
HNW clients · 116 to 138
Dec 19, 2025 to Jan 16, 2026
Individual clients · 45 to 42
Dec 19, 2025 to Jan 16, 2026
Assets in custody · $322M to $459M
Dec 19, 2025 to Jan 16, 2026
Employees · 8 to 10
Dec 19, 2025 to Jan 16, 2026
Discretionary RAUM · $389M to $524M
Dec 19, 2025 to Jan 16, 2026
HNW RAUM · $379M to $513M
Dec 19, 2025 to Jan 16, 2026
Individual RAUM · $9.0M to $9.8M
Dec 19, 2025 to Jan 16, 2026
Non-discretionary RAUM · $197,865 to $202,215
Dec 19, 2025 to Jan 16, 2026
RAUM · $389M to $524M
Dec 19, 2025 to Jan 16, 2026
Accounts · 564 to 721
Oct 4, 2024 to Feb 28, 2025
Advisory employees · 5 to 6
Oct 4, 2024 to Feb 28, 2025
HNW clients · 89 to 116
Oct 4, 2024 to Feb 28, 2025
Individual clients · 48 to 45
Oct 4, 2024 to Feb 28, 2025
Pension plan clients · 0.0 to unset
Oct 4, 2024 to Feb 28, 2025
Pooled vehicle clients · 0.0 to unset
Oct 4, 2024 to Feb 28, 2025
Assets in custody · $0 to $322M
Oct 4, 2024 to Feb 28, 2025
Custody of client assets · false to true
Oct 4, 2024 to Feb 28, 2025
Employees · 7 to 8
Oct 4, 2024 to Feb 28, 2025
Financial planning clients · 101-250 to 101-250
Oct 4, 2024 to Feb 28, 2025
State-registered IARs · 5 to 6
Oct 4, 2024 to Feb 28, 2025
Discretionary RAUM · $287M to $389M
Oct 4, 2024 to Feb 28, 2025
HNW RAUM · $276M to $379M
Oct 4, 2024 to Feb 28, 2025
Individual RAUM · $9.5M to $9.0M
Oct 4, 2024 to Feb 28, 2025
Non-discretionary RAUM · $0 to $197,865
Oct 4, 2024 to Feb 28, 2025
Pension RAUM · 0.0 to unset
Oct 4, 2024 to Feb 28, 2025
Pooled vehicle RAUM · 0.0 to unset
Oct 4, 2024 to Feb 28, 2025
RAUM · $287M to $389M
Oct 4, 2024 to Feb 28, 2025
Other offices · 1 to 2
Apr 17, 2024 to Jul 1, 2024
Commission compensation · false to true
Mar 21, 2024 to Apr 17, 2024
Accounts · 296 to 564
Jan 4, 2024 to Mar 4, 2024
Charity clients · 0.0 to unset
Jan 4, 2024 to Mar 4, 2024
HNW clients · 68 to 89
Jan 4, 2024 to Mar 4, 2024
Individual clients · 31 to 48
Jan 4, 2024 to Mar 4, 2024
Financial planning clients · 51-100 to 101-250
Jan 4, 2024 to Mar 4, 2024
Other offices · 0 to 1
Jan 4, 2024 to Mar 4, 2024
Discretionary RAUM · $182M to $287M
Jan 4, 2024 to Mar 4, 2024
HNW RAUM · $178M to $276M
Jan 4, 2024 to Mar 4, 2024
Individual RAUM · $4.2M to $9.5M
Jan 4, 2024 to Mar 4, 2024
RAUM · $182M to $287M
Jan 4, 2024 to Mar 4, 2024

Signals

7 dated events

M••••• • S••••••••• W••••• M••••••••• L•• reported RAUM $524.4M, up 35% from $389.2M (2025-12-19 to 2026-01-16)
Jan 16, 2026 · RAUM change · derived
M••••• • S••••••••• W••••• M••••••••• L•• reported RAUM $389.2M, up 36% from $286.7M (2024-10-04 to 2025-02-28)
Feb 28, 2025 · RAUM change · derived
M•••••• S•••••• left M••••• • S••••••••• W••••• M••••••••• L•• for E••••• J•••• (registered 2025-11-17)
Aug 2, 2024 · Advisor changed firm · fact
M••••• • S••••••••• W••••• M••••••••• L•• reported RAUM $286.7M, up 57% from $182.2M (2024-01-04 to 2024-03-04)
Mar 4, 2024 · RAUM change · derived
S••••• L••••••••• left M••••• • S••••••••• W••••• M••••••••• L•• for C•••••• W••••• M••••••••• L•• (registered 2023-12-12)
Oct 25, 2023 · Advisor changed firm · fact
M••••• • S••••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
Jul 22, 2022 · First SEC registration · fact
S••••• J••• G••••••• left M••••• • S••••••••• W••••• M••••••••• L•• for S••••• W••••• M••••••••• (registered 2022-03-30)
Mar 25, 2022 · 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.

How to reach

public business contact points only, each with its source

Business email: c••••••••@m•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: c••••••••@m•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: h••••••@m•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: n••••••@m•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: v•••••@m•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 847-281-3299reportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 847-281-3502reportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 847-281-3504reportedpublished by the firm, firm site, Sep 15, 2026
Website: m•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 847-247-8959reportedpublic record, Form ADV, Jan 16, 2026
Contact form: m•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
Team page: m•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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: $87.4Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026