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••• S••••• I••••••••• A•••••••• L••
Latest filing Jan 20, 2026
First filing on the tape Jul 12, 2018 · 13 filings
SEC status approved since Aug 10, 2018
RAUM
$250M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$247M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$83.4M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$250M as of Jan 20, 2026
Mar 28, 2019$120M then
HNW client RAUM$243M as of Jan 20, 2026
Mar 28, 2019$119M then
State-registered IARs (5.B.3)3 as of Jan 20, 2026
Mar 28, 20193 then
Employees (5.A)3 as of Jan 20, 2026
Mar 28, 20193 then
Private funds: no history
RAUM +17% over the last fiscal year+16% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jan 20, 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
- $83.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 47derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $1.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$243M97%
- Charitable organizations$3.7M1.5%
- Individuals$3.3M1.3%
- Individual clients
- 14reported
- HNW clients
- 128reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 144reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 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 |
|---|---|---|---|---|
| J•••••• S•••••• R••• | Northbrook, Il | Feb 15, 2008 | 46 y | 1 |
| W•••• F•••••• C••• | Northbrook, Il | Dec 15, 2009 | 46 y | 0 |
| A•••••••• L••••••• R•••Certified Financial Planner | Northbrook, Il | Oct 30, 2017 | 19 y | 2 |
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•••••••• L••••••• R••• from M••••• S••••••Oct 30, 2017 · Wirehouse to independent RIA
- J•••••• S•••••• R••• from L••••• B••••••• I•••Feb 15, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••• W••••• F•••••• · Managing Principal, Chief Operating Officercontrolsince 11/2007 · owns 25% to 50%
- R•••• A••••••••• L••••••• · Managing Principalcontrolsince 01/2022 · owns 25% to 50%
- R•••• J••••••• S•••••• · Managing Principal, Chief Compliance Officercontrolsince 11/2007 · 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 |
|---|---|---|---|---|---|
| Northbrook, Il · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 100 to 144Dec 8, 2025 to Jan 20, 2026
- Charity clients · unset to 2.0Dec 8, 2025 to Jan 20, 2026
- HNW clients · 100 to 128Dec 8, 2025 to Jan 20, 2026
- Individual clients · unset to 14.0Dec 8, 2025 to Jan 20, 2026
- Financial planning clients · 1-10 to 26-50Dec 8, 2025 to Jan 20, 2026
- Discretionary RAUM · $215M to $250MDec 8, 2025 to Jan 20, 2026
- HNW RAUM · $215M to $243MDec 8, 2025 to Jan 20, 2026
- Individual RAUM · unset to 3280000.0Dec 8, 2025 to Jan 20, 2026
- RAUM · $215M to $250MDec 8, 2025 to Jan 20, 2026
- Financial planning clients · 1-10 to 1-10Jul 1, 2024 to Feb 12, 2025
- Discretionary RAUM · $175M to $215MJul 1, 2024 to Feb 12, 2025
- HNW RAUM · $175M to $215MJul 1, 2024 to Feb 12, 2025
- RAUM · $175M to $215MJul 1, 2024 to Feb 12, 2025
- Accounts · 83 to 100Mar 24, 2023 to Jan 31, 2024
- Advisory activities · 2 to 3Mar 24, 2023 to Jan 31, 2024
- HNW clients · 78 to 100Mar 24, 2023 to Jan 31, 2024
- Individual clients · 5.0 to unsetMar 24, 2023 to Jan 31, 2024
- Discretionary RAUM · $160M to $175MMar 24, 2023 to Jan 31, 2024
- HNW RAUM · $136M to $175MMar 24, 2023 to Jan 31, 2024
- Individual RAUM · 24000000.0 to unsetMar 24, 2023 to Jan 31, 2024
- RAUM · $160M to $175MMar 24, 2023 to Jan 31, 2024
- Advisory activities · 1 to 2Mar 31, 2022 to Mar 24, 2023
- Discretionary RAUM · $180M to $160MMar 31, 2022 to Mar 24, 2023
- HNW RAUM · $176M to $136MMar 31, 2022 to Mar 24, 2023
- Individual RAUM · $4.0M to $24.0MMar 31, 2022 to Mar 24, 2023
- RAUM · $180M to $160MMar 31, 2022 to Mar 24, 2023
- Accounts · 140 to 83Mar 29, 2021 to Mar 31, 2022
- HNW clients · 50 to 78Mar 29, 2021 to Mar 31, 2022
- Individual clients · 25 to 5Mar 29, 2021 to Mar 31, 2022
- Discretionary RAUM · $160M to $180MMar 29, 2021 to Mar 31, 2022
- HNW RAUM · $130M to $176MMar 29, 2021 to Mar 31, 2022
- Individual RAUM · $30.0M to $4.0MMar 29, 2021 to Mar 31, 2022
- RAUM · $160M to $180MMar 29, 2021 to Mar 31, 2022
- Accounts · 78 to 140Jul 20, 2020 to Mar 29, 2021
- HNW clients · 40 to 50Jul 20, 2020 to Mar 29, 2021
- Individual clients · 5 to 25Jul 20, 2020 to Mar 29, 2021
- Financial planning clients · 0 to 1-10Jul 20, 2020 to Mar 29, 2021
- Other offices · 1 to 0Jul 20, 2020 to Mar 29, 2021
- Discretionary RAUM · $132M to $160MJul 20, 2020 to Mar 29, 2021
- HNW RAUM · $131M to $130MJul 20, 2020 to Mar 29, 2021
Signals
2 dated events
- Laurence Alexander Ross (Managing Principal) appeared on Schedule A of M••• S••••• I••••••••• A•••••••• L••Mar 24, 2023 · Control person joined · fact
- M••• S••••• I••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Jul 12, 2018 · 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
- 847-480-7055reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- m•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 847-480-7055reportedpublic record, Form ADV, Jan 20, 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
- $83.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026