DFX Intelligence

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SEC-registered adviser

P•••••• M•••• I••••••••• A••••••• I•••

Independent wealth managerCRD 122742SEC 801-113346website IAPD

Latest filing Sep 11, 2026

First filing on the tape May 1, 2018 · 20 filings

SEC status approved since May 31, 2018

RAUM

$212M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$212M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$70.7M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

20 filings and snapshots on the tape

RAUM$212M as of Mar 12, 2026

Mar 28, 2019$125M then

HNW client RAUM$190M as of Mar 12, 2026

Mar 28, 2019$108M then

State-registered IARs (5.B.3)4 as of Mar 12, 2026

Mar 28, 20193 then

Employees (5.A)4 as of Mar 12, 2026

Mar 28, 20193 then

Private funds: no history

RAUM +8.1% over the last fiscal year+6.7% a year over threeIARs 4 to 4offices 0 to 1

Practice profile

derived from the filing of Sep 11, 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

RAUM per advisor: $70.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 47derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $3.3MderivedHNW RAUM over HNW clients
Average account: $822,050derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.3derivedItem 5.A over advisors
Advisors per office: 1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +8.1%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: 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$190M90%
Individuals$22.0M10%

Individual clients: 83reported
HNW clients: 58reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 258reported
Financial planning clients: n/areported
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= related_bank= bd_reps=0.0derived

Advisors registered through the firm

3 on IAPD today, longest tenure first

Name	Branch	Here since	In industry
P•••••• J••• M••••	Oak Brook, Il	Aug 12, 1998	38 y
D••••• P•••••• M••••	Oak Brook, Il	Aug 5, 2002	24 y
A•••• B••••• M••••	Chicago, Il	Jul 16, 2021	12 y

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

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

M••••• P••••••• J••• · President & Chief Executive Officercontrol
since 08/1996 · owns 75% or more
M••••• A••••• B••••• · Chief Compliance Officer & Chief Operating Officer
since 10/2021 · owns less than 5%
M••••• M•••• E•••• · Secretary
since 08/1996 · owns less than 5%

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 Brook, Il	3	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Financial planning clients · to unset
Mar 12, 2026 to Sep 11, 2026
HQ city · to unset
Mar 12, 2026 to Sep 11, 2026
HQ state · to unset
Mar 12, 2026 to Sep 11, 2026
Related adviser · false to unset
Mar 12, 2026 to Sep 11, 2026
Related bank · false to unset
Mar 12, 2026 to Sep 11, 2026
Related broker-dealer · false to unset
Mar 12, 2026 to Sep 11, 2026
Related insurance company · false to unset
Mar 12, 2026 to Sep 11, 2026
Succession · false to unset
Mar 12, 2026 to Sep 11, 2026
Accounts · 289 to 258
Sep 4, 2025 to Mar 12, 2026
HNW clients · 60 to 58
Sep 4, 2025 to Mar 12, 2026
Individual clients · 81 to 83
Sep 4, 2025 to Mar 12, 2026
Discretionary RAUM · $196M to $212M
Sep 4, 2025 to Mar 12, 2026
HNW RAUM · $178M to $190M
Sep 4, 2025 to Mar 12, 2026
Individual RAUM · $17.9M to $22.0M
Sep 4, 2025 to Mar 12, 2026
RAUM · $196M to $212M
Sep 4, 2025 to Mar 12, 2026
Other offices · 0 to 1
Feb 27, 2025 to Sep 4, 2025
Accounts · 284 to 289
Feb 23, 2024 to Feb 27, 2025
HNW clients · 61 to 60
Feb 23, 2024 to Feb 27, 2025
Individual clients · 84 to 81
Feb 23, 2024 to Feb 27, 2025
Financial planning clients · 0 to
Feb 23, 2024 to Feb 27, 2025
HQ city · unset to
Feb 23, 2024 to Feb 27, 2025
HQ state · unset to
Feb 23, 2024 to Feb 27, 2025
Discretionary RAUM · $187M to $196M
Feb 23, 2024 to Feb 27, 2025
HNW RAUM · $166M to $178M
Feb 23, 2024 to Feb 27, 2025
Individual RAUM · $21.2M to $17.9M
Feb 23, 2024 to Feb 27, 2025
RAUM · $187M to $196M
Feb 23, 2024 to Feb 27, 2025
Accounts · 256 to 284
Jan 3, 2024 to Feb 23, 2024
HNW clients · 57 to 61
Jan 3, 2024 to Feb 23, 2024
Individual clients · 86 to 84
Jan 3, 2024 to Feb 23, 2024
Employees · 3 to 4
Jan 3, 2024 to Feb 23, 2024
State-registered IARs · 2 to 4
Jan 3, 2024 to Feb 23, 2024
Discretionary RAUM · $175M to $187M
Jan 3, 2024 to Feb 23, 2024
HNW RAUM · $152M to $166M
Jan 3, 2024 to Feb 23, 2024
Individual RAUM · $22.7M to $21.2M
Jan 3, 2024 to Feb 23, 2024
RAUM · $175M to $187M
Jan 3, 2024 to Feb 23, 2024
Accounts · 221 to 256
Feb 25, 2022 to Mar 1, 2023
HNW clients · 56 to 57
Feb 25, 2022 to Mar 1, 2023
Individual clients · 80 to 86
Feb 25, 2022 to Mar 1, 2023
Discretionary RAUM · $184M to $175M
Feb 25, 2022 to Mar 1, 2023
HNW RAUM · $164M to $152M
Feb 25, 2022 to Mar 1, 2023

Signals

1 dated events

••• Locked
May 1, 2018 · 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

Website: m•••••••••.comreportedpublic record, Form ADV, Sep 11, 2026
Principal office phone: (630) 789-3374reportedpublic record, Form ADV, Sep 11, 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: $70.7Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026