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
M••••• C•••••• M••••••••• I•••
Latest filing Mar 31, 2026
First filing on the tape Jan 30, 2012 · 16 filings
SEC status approved since Apr 3, 2020
RAUM
$226M
reported, Item 5.F
Discretionary
83%
of RAUM
Private clients
100%
$226M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$56.6M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$226M as of Mar 31, 2026
Jan 30, 2012$37.2M then
HNW client RAUM$24.9M as of Mar 31, 2026
Mar 12, 2021$19.0M then
State-registered IARs (5.B.3)4 as of Mar 31, 2026
Jan 30, 20120 then
Employees (5.A)4 as of Mar 31, 2026
Mar 12, 20212 then
Private funds: no history
RAUM +16% over the last fiscal year+14% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Mar 31, 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $56.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $181,386derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 83%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$201M89%
- High-net-worth individuals$24.9M11%
- Corporations and businesses$742,8990.3%
- Individual clients
- 227reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,248reported
- Financial planning clients
- 101-250reported
- 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
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• S•••••• D••••Certified Financial Planner | Chicago, Il | Jan 28, 1998 | 35 y | 1 |
| D••••• B•••••• C••••Certified Financial Planner | Chicago, Il | Jan 5, 2009 | 19 y | 1 |
| D••••• G•••••• K••••• | Chicago, Il | Aug 15, 2023 | 11 y | 0 |
| S•••• K••••• B••••• | Chicago, Il | Sep 15, 2023 | 14 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
- P•••• G••••• H••• to H••• F•••••••• C•••••••••Jun 11, 2007 · Other
Joined, latest
- D••••• B•••••• C•••• from A••••••••• F•••••••• S•••••••• L••Jan 5, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• D•••••• B•••••• · Chief Compliance Officercontrolsince 08/2015 · 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 | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,277 to 1,248Apr 1, 2025 to Mar 31, 2026
- Advisory employees · 3 to 4Apr 1, 2025 to Mar 31, 2026
- Individual clients · 225 to 227Apr 1, 2025 to Mar 31, 2026
- State-registered IARs · 3 to 4Apr 1, 2025 to Mar 31, 2026
- Discretionary RAUM · $157M to $188MApr 1, 2025 to Mar 31, 2026
- HNW RAUM · $24.8M to $24.9MApr 1, 2025 to Mar 31, 2026
- Individual RAUM · $170M to $201MApr 1, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $38.1M to $38.6MApr 1, 2025 to Mar 31, 2026
- RAUM · $195M to $226MApr 1, 2025 to Mar 31, 2026
- Accounts · 1,091 to 1,277Apr 1, 2024 to Apr 1, 2025
- HNW clients · 5.0 to unsetApr 1, 2024 to Apr 1, 2025
- Individual clients · 212 to 225Apr 1, 2024 to Apr 1, 2025
- Financial planning clients · 101-250 to 101-250Apr 1, 2024 to Apr 1, 2025
- Discretionary RAUM · $146M to $157MApr 1, 2024 to Apr 1, 2025
- HNW RAUM · $38.0M to $24.8MApr 1, 2024 to Apr 1, 2025
- Individual RAUM · $140M to $170MApr 1, 2024 to Apr 1, 2025
- Non-discretionary RAUM · $31.8M to $38.1MApr 1, 2024 to Apr 1, 2025
- RAUM · $178M to $195MApr 1, 2024 to Apr 1, 2025
- Accounts · 1,025 to 1,091Mar 23, 2023 to Apr 1, 2024
- Advisory employees · 2 to 3Mar 23, 2023 to Apr 1, 2024
- Individual clients · 200 to 212Mar 23, 2023 to Apr 1, 2024
- Employees · 2 to 4Mar 23, 2023 to Apr 1, 2024
- State-registered IARs · 2 to 3Mar 23, 2023 to Apr 1, 2024
- Discretionary RAUM · $127M to $146MMar 23, 2023 to Apr 1, 2024
- HNW RAUM · $37.7M to $38.0MMar 23, 2023 to Apr 1, 2024
- Individual RAUM · $114M to $140MMar 23, 2023 to Apr 1, 2024
- Non-discretionary RAUM · $25.7M to $31.8MMar 23, 2023 to Apr 1, 2024
- RAUM · $152M to $178MMar 23, 2023 to Apr 1, 2024
- Accounts · 988 to 1,025Mar 7, 2022 to Feb 23, 2023
- State-registered IARs · 0 to 2Mar 7, 2022 to Feb 23, 2023
- Discretionary RAUM · $143M to $127MMar 7, 2022 to Feb 23, 2023
- HNW RAUM · $44.8M to $37.7MMar 7, 2022 to Feb 23, 2023
- Individual RAUM · $129M to $114MMar 7, 2022 to Feb 23, 2023
- Non-discretionary RAUM · $31.1M to $25.7MMar 7, 2022 to Feb 23, 2023
- RAUM · $174M to $152MMar 7, 2022 to Feb 23, 2023
- Accounts · 967 to 988Dec 1, 2021 to Mar 7, 2022
- Individual clients · 195 to 200Dec 1, 2021 to Mar 7, 2022
- Discretionary RAUM · $133M to $143MDec 1, 2021 to Mar 7, 2022
- HNW RAUM · $42.5M to $44.8MDec 1, 2021 to Mar 7, 2022
- Individual RAUM · $120M to $129MDec 1, 2021 to Mar 7, 2022
Signals
2 dated events
- Stephen John Davis (President) no longer on Schedule A of M••••• C•••••• M••••••••• I••• (listed 2023-02-23, absent 2023-03-15)Mar 15, 2023 · Control person left · inference
- M••••• C•••••• M••••••••• I••• filed its initial SEC registration (Form ADV)Mar 4, 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
- i•••@m•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 312-488-3662reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 312-526-3838reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- M•••••ADVISERS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 312-526-3838reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- m•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $56.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026