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••••• • M••••• A•••• M•••••••••
Latest filing Jul 13, 2026
First filing on the tape Mar 15, 2012 · 34 filings
SEC status approved since Jul 3, 2008
RAUM
$1.7B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$557M
derived; firm RAUM over IAPD count
Employees
17
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
9
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$1.7B as of Jul 13, 2026
Mar 15, 2012$422M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 13, 2026
Mar 15, 20120 then
Employees (5.A)17 as of Jul 13, 2026
Mar 28, 201310 then
Private funds9 as of Jul 13, 2026
Mar 15, 20125 then
RAUM +12% over the last fiscal year+8.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 13, 2026; every figure names its basis
- RAUM per advisor
- $557MderivedRAUM 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
- $186MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $1.1B, 9 clientsreportedItem 9.A
- 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.7B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 9reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.1B for 9 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| I•••• C••••• L••• | Chicago, Il | Nov 23, 2004 | 27 y | 1 |
| A•••• R••• | Chicago, Il | Nov 23, 2004 | 27 y | 1 |
| A••••• D•••••• S•••• | Chicago, Il | Aug 7, 2008 | 18 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
- A••••• D•••••• S•••• from I••••••• P•••••• E••••• F••••••••• G•••• L••Aug 7, 2008 · Other
Private funds
12 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M• N• P•••••• F••• I••• L••• | Private Equity Fund | $310M | 2 | Mar 28, 2022 |
| C••••••••• P•••••• E••••• F••••••••• I••• L• | Private Equity Fund | $281M | 2 | Mar 20, 2019 |
| M• N• P•••••• F••• I•• L••• | Private Equity Fund | $265M | 2 | Mar 19, 2018 |
| M• N• P•••••• F•••• L••• | Private Equity Fund | $163M | 2 | Mar 15, 2012 |
| M•••••• E••••••• P•••••• E••••• F••••••••• L••• | Private Equity Fund | $130M | 2 | Mar 28, 2017 |
| C••••••••• P•••••• E••••• F••••••••• I•• L• | Private Equity Fund | $124M | 2 | Mar 27, 2024 |
| M• P•••••• E••••• F••••••••• I•• L••• | Private Equity Fund | $81.5M | 1 | Mar 25, 2014 |
| F•••••• C• H•••••• I••••••••• F•••• L•• | Private Equity Fund | $64.8M | 2 | Mar 9, 2020 |
| M••••••••• E••••••• P•••••• E••••• F••••••••• L••• | Private Equity Fund | $14.7M | 2 | Mar 15, 2012 |
| C• L••••• F•••• L••• | Private Equity Fund | $3.9M | 2 | Mar 15, 2012 |
| I••••••• P•••••• E••••• F••••••••• L•••no longer reported | Private Equity Fund | $0 | 10 | Mar 15, 2012 |
| M• P•••••• E••••• F••••••••• L••• | Private Equity Fund | $0 | 8 | Mar 15, 2012 |
Owners and control persons
Schedule A and B, latest filing
- L•••• I••••• C••••• · Chief Investment Officercontrolsince 05/1999 · owns 10% to 25%
- R•••• A•••• · Chief Executive Officercontrolsince 07/1999 · owns less than 5%
- R•••• A•••• · Manager/Membercontrolsince 11/1986 · owns 75% or more of R••• G•••• L•••
- N••••• A••••••• I•••• · Chief Compliance Officer / Director Of Financesince 01/2021 · owns less than 5%
- T•••••• M••••••• T••••••• · Member - Preferredsince 05/2003 · owns 10% to 25%
- Z••••••••• R••• J•• · Member - Preferredsince 11/2002 · owns 5% to 10%
Entity owners
- R••• G•••• L••• · Member - Commondirect · owns 25% to 50%
Related persons
Schedule D 7.A
- A•••• E•••••• G•••• L••investment adviserpooled vehicle sponsory
- C••• H•••• L••investment adviserpooled vehicle sponsory
- F•••••• ••• L••investment adviserpooled vehicle sponsory
- M•••••••• G•••• L••investment adviserpooled vehicle sponsory
- P•••••• C••••••••• M•••••• • G•••••• L••investment adviserpooled vehicle sponsory
- S••••• S••• G••• I•• L••investment adviserpooled vehicle sponsory
- S••••• S••• G••• I••• L••investment adviserpooled vehicle sponsory
- S••••• S•••• L••investment adviserpooled vehicle sponsory
- Z••••• G• I•• L••investment adviserpooled vehicle sponsory
- Z••••• G•• L••investment adviserpooled vehicle sponsory
Advisers that list M••••• • M••••• A•••• M••••••••• as a related person
- 133363 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Chicago, Il · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $1.0B to $1.1BMar 30, 2026 to Jul 13, 2026
- Discretionary RAUM · $1.6B to $1.7BMar 30, 2026 to Jul 13, 2026
- Pooled vehicle RAUM · $1.6B to $1.7BMar 30, 2026 to Jul 13, 2026
- RAUM · $1.6B to $1.7BMar 30, 2026 to Jul 13, 2026
- Accounts · 10 to 9Jul 15, 2025 to Mar 30, 2026
- Pooled vehicle clients · 5 to 9Jul 15, 2025 to Mar 30, 2026
- Assets in custody · $970M to $1.0BJul 15, 2025 to Mar 30, 2026
- Employees · 18 to 17Jul 15, 2025 to Mar 30, 2026
- Private funds · 10 to 9Jul 15, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.5B to $1.6BJul 15, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $1.5B to $1.6BJul 15, 2025 to Mar 30, 2026
- RAUM · $1.5B to $1.6BJul 15, 2025 to Mar 30, 2026
- Related adviser · true to falseJul 15, 2025 to Mar 30, 2026
- Assets in custody · $937M to $970MMar 28, 2025 to Jul 15, 2025
- Financial planning clients · 0 to 0Mar 28, 2025 to Jul 15, 2025
- Discretionary RAUM · $1.5B to $1.5BMar 28, 2025 to Jul 15, 2025
- Pooled vehicle RAUM · $1.5B to $1.5BMar 28, 2025 to Jul 15, 2025
- RAUM · $1.5B to $1.5BMar 28, 2025 to Jul 15, 2025
- Assets in custody · $911M to $937MJul 12, 2024 to Mar 28, 2025
- Discretionary RAUM · $1.4B to $1.5BJul 12, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $1.4B to $1.5BJul 12, 2024 to Mar 28, 2025
- RAUM · $1.4B to $1.5BJul 12, 2024 to Mar 28, 2025
- Assets in custody · $904M to $911MMar 27, 2024 to Jul 12, 2024
- Discretionary RAUM · $1.4B to $1.4BMar 27, 2024 to Jul 12, 2024
- Pooled vehicle RAUM · $1.4B to $1.4BMar 27, 2024 to Jul 12, 2024
- RAUM · $1.4B to $1.4BMar 27, 2024 to Jul 12, 2024
- Accounts · 9 to 10Jun 27, 2023 to Mar 27, 2024
- Advisory employees · 6 to 7Jun 27, 2023 to Mar 27, 2024
- Assets in custody · $844M to $904MJun 27, 2023 to Mar 27, 2024
- Employees · 16 to 18Jun 27, 2023 to Mar 27, 2024
- Discretionary RAUM · $1.3B to $1.4BJun 27, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $1.3B to $1.4BJun 27, 2023 to Mar 27, 2024
- RAUM · $1.3B to $1.4BJun 27, 2023 to Mar 27, 2024
- Assets in custody · $823M to $844MMar 30, 2023 to Jun 27, 2023
- Discretionary RAUM · $1.3B to $1.3BMar 30, 2023 to Jun 27, 2023
- Pooled vehicle RAUM · $1.3B to $1.3BMar 30, 2023 to Jun 27, 2023
- RAUM · $1.3B to $1.3BMar 30, 2023 to Jun 27, 2023
- Accounts · 10 to 9Jun 30, 2022 to Mar 30, 2023
- Pooled vehicle clients · 8 to 5Jun 30, 2022 to Mar 30, 2023
- Assets in custody · $846M to $823MJun 30, 2022 to Mar 30, 2023
Signals
1 dated events
- M••••• • M••••• A•••• M••••••••• reported RAUM $910.7M, up 32% from $688.0M (2018-08-07 to 2019-03-20)Mar 20, 2019 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- M••••• • M••••• A•••• M••••••••• · Independent Sponsorsshared crd · capital_provider
- M••••• • M••••• A•••• M••••••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/muller-&-monroe-asset-management-llcreportedpublic record, Form ADV, Sep 19, 2026
- Website
- w••.m•••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 312-782-7771reportedpublic record, Form ADV, Jul 13, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $557Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026