DFX Intelligence
RIA Intelligence
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SEC-registered adviser
L•••••• A•••• M••••••••• I•••
Latest filing Aug 11, 2026
First filing on the tape Mar 16, 2012 · 16 filings
SEC status approved since Jun 10, 2022
RAUM
$173M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
100%
$173M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$86.4M
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
16 filings and snapshots on the tape
RAUM$173M as of Aug 11, 2026
Mar 16, 2012$55.3M then
HNW client RAUM$88.7M as of Aug 11, 2026
Mar 15, 2023$50.2M then
State-registered IARs (5.B.3)2 as of Aug 11, 2026
Mar 16, 20120 then
Employees (5.A)2 as of Aug 11, 2026
Mar 15, 20233 then
Private funds: no history
RAUM +21% over the last fiscal year+17% a year over threeIARs 3 to 2offices 1 to 0
Practice profile
derived from the filing of Aug 11, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $86.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 122derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $344,058derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%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
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -13%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$88.7M51%
- Individuals$84.0M49%
- Individual clients
- 204reported
- HNW clients
- 39reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 502reported
- Financial planning clients
- 0reported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• A••••• M••••••••Chartered Financial Consultant | Woodridge, Il | Jun 17, 2005 | 35 y | 1 |
| R•••••• K•••• H••••••• | Woodridge, Il | Feb 13, 2006 | 27 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
none on the tape
Joined, latest
- J•••• A••••• M•••••••• from O•• B•••••••• S•••••••• I•••Jun 17, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••••• J••••• A••••• · Presidentcontrolsince 05/2005 · owns 75% or more
Related persons
Schedule D 7.A
- M•••••••• • H•••••••• P•••y
- S••••• E•••••• I•••real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Woodridge, Il · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Advisory employees · 3 to 2Jan 29, 2026 to Aug 11, 2026
- Employees · 3 to 2Jan 29, 2026 to Aug 11, 2026
- State-registered IARs · 3 to 2Jan 29, 2026 to Aug 11, 2026
- Other offices · 1 to 0Jan 29, 2026 to Aug 11, 2026
- Accounts · 501 to 502Sep 30, 2025 to Jan 29, 2026
- Individual clients · 241 to 204Sep 30, 2025 to Jan 29, 2026
- Discretionary RAUM · $132M to $160MSep 30, 2025 to Jan 29, 2026
- HNW RAUM · $69.3M to $88.7MSep 30, 2025 to Jan 29, 2026
- Individual RAUM · $74.0M to $84.0MSep 30, 2025 to Jan 29, 2026
- Non-discretionary RAUM · $10.9M to $12.5MSep 30, 2025 to Jan 29, 2026
- RAUM · $143M to $173MSep 30, 2025 to Jan 29, 2026
- Financial planning clients · 0 to 0Mar 13, 2025 to Sep 30, 2025
- Accounts · 479 to 501Aug 15, 2024 to Mar 13, 2025
- HNW clients · 33 to 39Aug 15, 2024 to Mar 13, 2025
- Individual clients · 213 to 241Aug 15, 2024 to Mar 13, 2025
- Discretionary RAUM · $119M to $132MAug 15, 2024 to Mar 13, 2025
- HNW RAUM · $61.9M to $69.3MAug 15, 2024 to Mar 13, 2025
- Individual RAUM · $64.2M to $74.0MAug 15, 2024 to Mar 13, 2025
- Non-discretionary RAUM · $6.6M to $10.9MAug 15, 2024 to Mar 13, 2025
- RAUM · $126M to $143MAug 15, 2024 to Mar 13, 2025
- Accounts · 472 to 479May 12, 2023 to Mar 1, 2024
- HNW clients · 32 to 33May 12, 2023 to Mar 1, 2024
- Individual clients · 215 to 213May 12, 2023 to Mar 1, 2024
- Discretionary RAUM · $99.5M to $119MMay 12, 2023 to Mar 1, 2024
- HNW RAUM · $50.2M to $61.9MMay 12, 2023 to Mar 1, 2024
- Individual RAUM · $57.2M to $64.2MMay 12, 2023 to Mar 1, 2024
- Non-discretionary RAUM · $7.9M to $6.6MMay 12, 2023 to Mar 1, 2024
- RAUM · $107M to $126MMay 12, 2023 to Mar 1, 2024
- Other offices · 0 to 1Apr 25, 2023 to May 12, 2023
- HQ city · WILLOWBROOK to WOODRIDGEMar 15, 2023 to Apr 25, 2023
- Accounts · 476 to 472May 12, 2022 to Mar 15, 2023
- HNW clients · 31 to 32May 12, 2022 to Mar 15, 2023
- Individual clients · 221 to 215May 12, 2022 to Mar 15, 2023
- Discretionary RAUM · $98.3M to $99.5MMay 12, 2022 to Mar 15, 2023
- HNW RAUM · $49.0M to $50.2MMay 12, 2022 to Mar 15, 2023
- Individual RAUM · $59.1M to $57.2MMay 12, 2022 to Mar 15, 2023
- Non-discretionary RAUM · $9.8M to $7.9MMay 12, 2022 to Mar 15, 2023
- RAUM · $108M to $107MMay 12, 2022 to Mar 15, 2023
- Accounts · 309 to 476May 22, 2012 to May 12, 2022
- Advisory employees · unset to 3.0May 22, 2012 to May 12, 2022
Signals
1 dated events
- L•••••• A•••• M••••••••• I••• filed its initial SEC registration (Form ADV)May 12, 2022 · 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
- jim@ternaryus.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- laura@ternaryus.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 630-789-9653reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 630-352-3422reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- ternaryus.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 630-789-9653reportedpublic record, Form ADV, Aug 11, 2026
- Contact form
- ternaryus.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- ternaryus.com/meet-the-teamreportedpublished 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
- $86.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026