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••••••• L••
Latest filing Mar 10, 2026
First filing on the tape Jan 24, 2012 · 14 filings
SEC status approved since Apr 7, 2025
RAUM
$129M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$129M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$64.6M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$129M as of Mar 10, 2026
Jan 24, 2012$42.4M then
HNW client RAUM$116M as of Mar 10, 2026
Mar 22, 2018$24.8M then
State-registered IARs (5.B.3)2 as of Mar 10, 2026
Jan 24, 20120 then
Employees (5.A)2 as of Mar 10, 2026
Mar 21, 20172 then
Private funds: no history
RAUM +14% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 10, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $64.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 49derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $498,930derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%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 assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
- High-net-worth individuals$116M90%
- Individuals$12.9M10.0%
- Individual clients
- 56reported
- HNW clients
- 42reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 259reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L••• A• B•••Certified Financial Planner | Northfield, Il | May 9, 2025 | 19 y | 0 |
| D••••• M••••• | Northfield, Il | May 9, 2025 | 35 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
none on the tape
Joined, latest
- D••••• M••••• from J••• M••••• S••••••••• L••May 9, 2025 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• D••••• · Managing Membercontrolsince 01/2004 · owns 75% or more
- P••••••••• L•••• B••• · Chief Compliance Officercontrolsince 01/2016 · 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 |
|---|---|---|---|---|---|
| Northfield, Il · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 246 to 259Mar 25, 2025 to Mar 10, 2026
- HNW clients · 46 to 42Mar 25, 2025 to Mar 10, 2026
- Individual clients · 52 to 56Mar 25, 2025 to Mar 10, 2026
- Discretionary RAUM · $113M to $129MMar 25, 2025 to Mar 10, 2026
- HNW RAUM · $101M to $116MMar 25, 2025 to Mar 10, 2026
- Individual RAUM · $12.2M to $12.9MMar 25, 2025 to Mar 10, 2026
- RAUM · $113M to $129MMar 25, 2025 to Mar 10, 2026
- Accounts · 118 to 246Apr 19, 2018 to Mar 25, 2025
- Advisory activities · 2 to 3Apr 19, 2018 to Mar 25, 2025
- HNW clients · 25 to 46Apr 19, 2018 to Mar 25, 2025
- Individual clients · 50 to 52Apr 19, 2018 to Mar 25, 2025
- Financial planning clients · unset to 1-10Apr 19, 2018 to Mar 25, 2025
- HQ city · NORTHBROOK to NORTHFIELDApr 19, 2018 to Mar 25, 2025
- Discretionary RAUM · $33.2M to $113MApr 19, 2018 to Mar 25, 2025
- HNW RAUM · $24.8M to $101MApr 19, 2018 to Mar 25, 2025
- Individual RAUM · $9.7M to $12.2MApr 19, 2018 to Mar 25, 2025
- Non-discretionary RAUM · $1.3M to $0Apr 19, 2018 to Mar 25, 2025
- RAUM · $34.5M to $113MApr 19, 2018 to Mar 25, 2025
- Accounts · 102 to 118Mar 21, 2017 to Feb 27, 2018
- HNW clients · unset to 25.0Mar 21, 2017 to Feb 27, 2018
- Individual clients · unset to 50.0Mar 21, 2017 to Feb 27, 2018
- Other offices · unset to 0.0Mar 21, 2017 to Feb 27, 2018
- Discretionary RAUM · $103M to $33.2MMar 21, 2017 to Feb 27, 2018
- HNW RAUM · unset to 24816890.0Mar 21, 2017 to Feb 27, 2018
- Individual RAUM · unset to 9661275.0Mar 21, 2017 to Feb 27, 2018
- Non-discretionary RAUM · $928,479 to $1.3MMar 21, 2017 to Feb 27, 2018
- RAUM · $104M to $34.5MMar 21, 2017 to Feb 27, 2018
- Accounts · 107 to 102May 23, 2016 to Mar 21, 2017
- Discretionary RAUM · $107M to $103MMay 23, 2016 to Mar 21, 2017
- Non-discretionary RAUM · $801,351 to $928,479May 23, 2016 to Mar 21, 2017
- RAUM · $108M to $104MMay 23, 2016 to Mar 21, 2017
- HQ city · CHICAGO to NORTHBROOKMar 8, 2016 to May 23, 2016
- Accounts · 71 to 107Apr 24, 2012 to Mar 8, 2016
- Advisory employees · unset to 2.0Apr 24, 2012 to Mar 8, 2016
- Employees · unset to 2.0Apr 24, 2012 to Mar 8, 2016
- State-registered IARs · 0 to 2Apr 24, 2012 to Mar 8, 2016
- Discretionary RAUM · $41.6M to $107MApr 24, 2012 to Mar 8, 2016
- Non-discretionary RAUM · $797,124 to $801,351Apr 24, 2012 to Mar 8, 2016
- RAUM · $42.4M to $108MApr 24, 2012 to Mar 8, 2016
Signals
1 dated events
- M••••• C••••••• L•• filed its initial SEC registration (Form ADV)Mar 8, 2016 · 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 phone
- 847-313-4326reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- M•••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 847-313-4326reportedpublic record, Form ADV, Mar 10, 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
- $64.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026