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
E••••• • T•••• A•••••••
Legal name E••••• • T•••• A•••••••• I•••
Latest filing Mar 16, 2026
First filing on the tape Mar 2, 2012 · 17 filings
SEC status approved since Jul 21, 2006
RAUM
$256M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$256M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$64.1M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$256M as of Mar 16, 2026
Mar 2, 2012$55.0M then
HNW client RAUM$142M as of Mar 16, 2026
Mar 30, 2018$39.7M then
State-registered IARs (5.B.3)4 as of Mar 16, 2026
Mar 2, 20120 then
Employees (5.A)6 as of Mar 16, 2026
Mar 12, 20132 then
Private funds: no history
RAUM +15% over the last fiscal year+7.6% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Mar 16, 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
- $64.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 44derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $356,208derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +106%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$142M55%
- Individuals$115M45%
- Individual clients
- 140reported
- HNW clients
- 35reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 720reported
- Financial planning clients
- 26-50reported
- 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=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 |
|---|---|---|---|---|
| M••• J•••••• S••••••• | Riverwoods, Il | Feb 8, 2001 | 29 y | 1 |
| J••••• M• J••••• | Riverwoods, Il | Mar 18, 2010 | 21 y | 2 |
| D•••• J••••• M•••••• | Riverwoods, Il | Feb 20, 2014 | 12 y | 1 |
| Y••••• Y• | Riverwoods, Il | Sep 1, 2025 | 12 y | 1 |
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
- C•••••• L••• L•••••••• to L•••••••• W••••• M••••••••• L••Feb 16, 2016 · Other
- M•••••• S•••• B•••• to R•••••• W••••• A•••••••• I•••Feb 10, 2015 · Other
- J••••• S• K••••• to P••• A••••• S••••••••• L••Jul 18, 2003 · Other
Joined, latest
- C•••••• L••• L•••••••• from B••••• D••••••• F•••• L••Aug 19, 2015 · Other
- M•••••• S•••• B•••• from C••••• • A••••••••• I•••Oct 24, 2014 · Other
- J••••• M• J••••• from M•• F•••••••• S•••••••• I•••Mar 18, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J•••••• J•••••• M• · Senior Vice Presidentcontrolsince 06/2018 · owns 25% to 50%
- M••••••• D••••• J••••• · Vice Presidentcontrolsince 06/2018 · owns 10% to 25%
- S•••••••• M•••• J•••••• · President & Chief Compliance Officercontrolsince 09/1997 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Riverwoods, Il · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Mar 16, 2026accounts (Item 5.F.2.f) moved from 312.0 to 720.0 (+131.0%) between the annual amendments of 2025-03-11 and 2026-03-16; the peer median change was +5.0% (3687 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 98% percentile
- HNW share shiftChange between filings · filing Mar 16, 2026HNW share of RAUM moved from 72.0% to 55.0% between the annual amendments of 2025-03-11 and 2026-03-16peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 312 to 720Mar 11, 2025 to Mar 16, 2026
- HNW clients · 24 to 35Mar 11, 2025 to Mar 16, 2026
- Individual clients · 61 to 140Mar 11, 2025 to Mar 16, 2026
- Employees · 5 to 6Mar 11, 2025 to Mar 16, 2026
- HQ city · NORTHBROOK to RIVERWOODSMar 11, 2025 to Mar 16, 2026
- State-registered IARs · 3 to 4Mar 11, 2025 to Mar 16, 2026
- Discretionary RAUM · $222M to $255MMar 11, 2025 to Mar 16, 2026
- HNW RAUM · $160M to $142MMar 11, 2025 to Mar 16, 2026
- Individual RAUM · $62.5M to $115MMar 11, 2025 to Mar 16, 2026
- Non-discretionary RAUM · $0 to $1.3MMar 11, 2025 to Mar 16, 2026
- RAUM · $222M to $256MMar 11, 2025 to Mar 16, 2026
- Accounts · 541 to 312Mar 21, 2024 to Mar 11, 2025
- Advisory employees · 3 to 4Mar 21, 2024 to Mar 11, 2025
- HNW clients · 59 to 24Mar 21, 2024 to Mar 11, 2025
- Individual clients · 71 to 61Mar 21, 2024 to Mar 11, 2025
- Insurance-licensed employees · 3 to 0Mar 21, 2024 to Mar 11, 2025
- Financial planning clients · 26-50 to 26-50Mar 21, 2024 to Mar 11, 2025
- Discretionary RAUM · $190M to $222MMar 21, 2024 to Mar 11, 2025
- HNW RAUM · $136M to $160MMar 21, 2024 to Mar 11, 2025
- Individual RAUM · $79.9M to $62.5MMar 21, 2024 to Mar 11, 2025
- Non-discretionary RAUM · $26.2M to $0Mar 21, 2024 to Mar 11, 2025
- RAUM · $216M to $222MMar 21, 2024 to Mar 11, 2025
- Accounts · 652 to 541Mar 22, 2023 to Mar 21, 2024
- HNW clients · 68 to 59Mar 22, 2023 to Mar 21, 2024
- Individual clients · 73 to 71Mar 22, 2023 to Mar 21, 2024
- Pension plan clients · 15 to 0Mar 22, 2023 to Mar 21, 2024
- Financial planning clients · 51-100 to 26-50Mar 22, 2023 to Mar 21, 2024
- Discretionary RAUM · $162M to $190MMar 22, 2023 to Mar 21, 2024
- HNW RAUM · $117M to $136MMar 22, 2023 to Mar 21, 2024
- Individual RAUM · $45.7M to $79.9MMar 22, 2023 to Mar 21, 2024
- Non-discretionary RAUM · $43.3M to $26.2MMar 22, 2023 to Mar 21, 2024
- Pension RAUM · $43.3M to $0Mar 22, 2023 to Mar 21, 2024
- RAUM · $206M to $216MMar 22, 2023 to Mar 21, 2024
- Accounts · 145 to 652Mar 2, 2022 to Mar 22, 2023
- Advisory employees · 2 to 3Mar 2, 2022 to Mar 22, 2023
- HNW clients · 25 to 68Mar 2, 2022 to Mar 22, 2023
- Individual clients · 100 to 73Mar 2, 2022 to Mar 22, 2023
- Assets in custody · $2.3M to $0Mar 2, 2022 to Mar 22, 2023
- Financial planning clients · 26-50 to 51-100Mar 2, 2022 to Mar 22, 2023
- Discretionary RAUM · $174M to $162MMar 2, 2022 to Mar 22, 2023
Signals
2 dated events
- Joseph David Madison (Vice President) appeared on Schedule A of E••••• • T•••• A•••••••Mar 20, 2019 · Control person joined · fact
- M Jordan Jacobs (Senior Vice President) appeared on Schedule A of E••••• • T•••• A•••••••Mar 20, 2019 · Control person joined · 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
- k••••@e•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 985-624-8916reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 817-601-1786reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 847-441-4600reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/estate-trust-advisors/peoplereportedpublic record, Form ADV, Sep 18, 2026
- Website
- w••.e•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 847-441-4600reportedpublic record, Form ADV, Mar 16, 2026
- Contact form
- e•••••••••.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
- $64.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026