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.
SEC-registered adviser
Signature Financial Services, Ltd
Latest filing Jul 2, 2026
First filing on the tape Mar 6, 2012 · 28 filings
SEC status approved since May 27, 2005
RAUM
$274M
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
87%
$238M individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$22.8M
derived; firm RAUM over IAPD count
Employees
12
12 advisory (5.B.1)
Offices
7
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$274M as of Jul 2, 2026
Mar 6, 2012$105M then
HNW client RAUM$166M as of Jul 2, 2026
Mar 19, 2018$118M then
State-registered IARs (5.B.3)12 as of Jul 2, 2026
Mar 6, 20120 then
Employees (5.A)12 as of Jul 2, 2026
Mar 26, 201331 then
Private funds: no history
RAUM +21% over the last fiscal year+15% a year over threeIARs 12 to 12
Practice profile
derived from the filing of Jul 2, 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
- RAUM per advisor
- $22.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 28derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $541,567derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 88%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived8 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- $33.1MreportedItem 5.I
- 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
- High-net-worth individuals$166M61%
- Individuals$72.0M26%
- Pension and profit-sharing plans$33.2M12%
- Corporations and businesses$2.7M1.0%
- Individual clients
- 260reported
- HNW clients
- 76reported
- Pension plan clients
- 15reported
- Charitable clients
- n/areported
- Accounts
- 506reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.87 fund_share=0.0 institutional_share=0.12 related_bd=false related_bank=false bd_reps=12.0derived
Advisors registered through the firm
12 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Bradley Kent WaltonCertified Financial Planner, Personal Financial Specialist | Arlington Heights, Il | Nov 10, 1998 | 39 y | 0 |
| Michael Murray Applebaum | Northbrook, Il | Oct 1, 1999 | 35 y | 0 |
| Linda Sue Foltos-Mahler | Batavia, Il | Mar 19, 2001 | 39 y | 0 |
| Marvin ReinglassCertified Financial Planner, Personal Financial Specialist | Arlington Heights, Il | Mar 19, 2001 | 26 y | 0 |
| Thomas Lambert Broderick | Evergreen Park, Il | Mar 19, 2001 | 40 y | 0 |
| Richard Clark Thomas | Noblesville, In | Mar 19, 2001 | 31 y | 1 |
| Susan Lynn SzalczynskiCertified Financial Planner | Chicago, Il | Mar 19, 2001 | 36 y | 0 |
| Teresa Lynn MitchellCertified Financial Planner | Arlington Heights, Il | Apr 1, 2002 | 29 y | 0 |
| David Mitchell Marlett | Springfield, Il | Jan 12, 2007 | 39 y | 2 |
| Timothy Melvin Olmstead | Arlington Hights, Il | Sep 7, 2010 | 34 y | 0 |
| Matthew A MoultonCertified Financial Planner, Chartered Financial Analyst | Arlington Heights, Il | May 15, 2019 | 12 y | 0 |
| Kyle B TuckerCertified Financial Planner | Arlington Heights, Il | Apr 19, 2023 | 12 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 headcount1 left over 36 months
Left, latest
- Bradley James Kmetz to Ausdal Financial Partners, Inc.Oct 31, 2024 · RIA to RIA
- Donna Jean Gordon to Independent Financial PartnersSep 6, 2019 · RIA to affiliated broker-dealer or bank
- Jason Alyn Brooks to First Heartland Consultants, Inc.Jul 26, 2019 · Other
- Robert John Achille to SpcApr 25, 2016 · Other
- Susan Marie Huizinga to Cetera Investment Advisers LLCDec 15, 2003 · Other
Joined, latest
- David Mitchell Marlett from Medallion Advisory Services, LLCJan 12, 2007 · Other
- Jason Alyn Brooks from Cincinnati Analysts, IncAug 7, 2003 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Melvin Timothy Olmstead · Secretary Treasurer/ Chief Compliance Officercontrolsince 02/2004 · owns less than 5%
- Kent Bradley Walton · Presidentcontrolsince 12/1988 · owns less than 5%
- Kent Bradley Walton · Presidentcontrolsince 01/2003 · owns 75% or more of Signature Advisor Group
Entity owners
- Signature Advisor Group · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- Signature Brokerage Services, Ltd.real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Arlington Heights, Il · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Altamont, IL1 employees
- Chicago, IL1 employees
- Deerfield, IL1 employees
- Northbrook, IL1 employees
- Springfield, IL1 employees
- Willow Brook, IL1 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 13, 2026HNW share of RAUM moved from 43.0% to 61.0% between the annual amendments of 2025-03-05 and 2026-03-13peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 475 to 506Mar 5, 2025 to Mar 13, 2026
- HNW clients · 117 to 76Mar 5, 2025 to Mar 13, 2026
- Individual clients · 203 to 260Mar 5, 2025 to Mar 13, 2026
- Pension plan clients · 21 to 15Mar 5, 2025 to Mar 13, 2026
- Discretionary RAUM · $193M to $241MMar 5, 2025 to Mar 13, 2026
- HNW RAUM · $98.3M to $166MMar 5, 2025 to Mar 13, 2026
- Individual RAUM · $91.1M to $72.0MMar 5, 2025 to Mar 13, 2026
- Non-discretionary RAUM · $34.6M to $33.2MMar 5, 2025 to Mar 13, 2026
- Pension RAUM · $34.6M to $33.2MMar 5, 2025 to Mar 13, 2026
- RAUM · $227M to $274MMar 5, 2025 to Mar 13, 2026
- Accounts · 471 to 475Mar 18, 2024 to Mar 5, 2025
- Advisory employees · 14 to 12Mar 18, 2024 to Mar 5, 2025
- BD registered reps · 14 to 12Mar 18, 2024 to Mar 5, 2025
- HNW clients · 121 to 117Mar 18, 2024 to Mar 5, 2025
- Individual clients · 204 to 203Mar 18, 2024 to Mar 5, 2025
- Pension plan clients · 19 to 21Mar 18, 2024 to Mar 5, 2025
- Employees · 14 to 12Mar 18, 2024 to Mar 5, 2025
- Financial planning clients · 251-500 to 251-500Mar 18, 2024 to Mar 5, 2025
- State-registered IARs · 14 to 12Mar 18, 2024 to Mar 5, 2025
- Other offices · 9 to 7Mar 18, 2024 to Mar 5, 2025
- Discretionary RAUM · $183M to $193MMar 18, 2024 to Mar 5, 2025
- HNW RAUM · $82.5M to $98.3MMar 18, 2024 to Mar 5, 2025
- Individual RAUM · $97.2M to $91.1MMar 18, 2024 to Mar 5, 2025
- Non-discretionary RAUM · $19.3M to $34.6MMar 18, 2024 to Mar 5, 2025
- Pension RAUM · $19.3M to $34.6MMar 18, 2024 to Mar 5, 2025
- RAUM · $202M to $227MMar 18, 2024 to Mar 5, 2025
- Wrap assets (manager) · unset to 0.0Mar 18, 2024 to Mar 5, 2025
- Wrap assets (sponsor) · unset to 0.0Mar 18, 2024 to Mar 5, 2025
- Accounts · 565 to 471Jan 4, 2024 to Mar 18, 2024
- HNW clients · 147 to 121Jan 4, 2024 to Mar 18, 2024
- Individual clients · 299 to 204Jan 4, 2024 to Mar 18, 2024
- Employees · 19 to 14Jan 4, 2024 to Mar 18, 2024
- Other offices · 15 to 9Jan 4, 2024 to Mar 18, 2024
- Discretionary RAUM · $163M to $183MJan 4, 2024 to Mar 18, 2024
- HNW RAUM · $78.6M to $82.5MJan 4, 2024 to Mar 18, 2024
- Individual RAUM · $82.1M to $97.2MJan 4, 2024 to Mar 18, 2024
- Non-discretionary RAUM · $14.8M to $19.3MJan 4, 2024 to Mar 18, 2024
- Pension RAUM · $14.8M to $19.3MJan 4, 2024 to Mar 18, 2024
- RAUM · $178M to $202MJan 4, 2024 to Mar 18, 2024
- Accounts · 474 to 565Mar 29, 2022 to Mar 30, 2023
Signals
3 dated events
- Bradley James Kmetz left Signature Financial Services, Ltd for Ausdal Financial Partners, Inc. (registered 2024-10-31)Oct 31, 2024 · Advisor changed firm · fact
- Signature Financial Services, Ltd reported 9 offices beyond its principal office, down from 15 (2024-01-04 to 2024-03-18)Mar 18, 2024 · Office count change · derived
- Albert Charles Landers (Vice President) no longer on Schedule A of Signature Financial Services, Ltd (listed 2020-11-30, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
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
- tmo@signatureadvisors.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- amw@signatureadvisors.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- bkw@signatureadvisors.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- cal@signatureadvisors.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- kan@signatureadvisors.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- kbt@signatureadvisors.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- mam@signatureadvisors.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 847-545-8077reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 847-545-8070reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/SIGNATURE-ADVISORS-GROUPreportedpublic record, Form ADV, Sep 17, 2026
- Website
- SIGNATUREADVISORS.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (847) 545-8070reportedpublic record, Form ADV, Jul 2, 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
- $22.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026