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M••• S••••• F••••••••

Former SEC-registered adviserFormer SEC adviser· Chicago, Illinois

Former SEC-registered adviser, based in Chicago, Illinois, reporting $268M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$268M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-4.5%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
What we can say about this record

We hold 26 Form ADV filings for this adviser, the latest 10.6 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 164106 · SEC 801-77405 · 26 filingsShow
CRD 164106SEC 801-77405Legal name M••• S••••• F•••••••• M••••••••• L••First filing on the tape Apr 25, 2012, latest Mar 28, 2016IAPD
RAUM
$268M
reported, Item 5.F
Discretionary
76%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$268M as of Mar 28, 2016
Mar 28, 2013$224M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 28, 2016
Mar 28, 20130 then
Employees (5.A)1 as of Mar 28, 2016
Mar 28, 20132 then
Private funds: no history
RAUM -4.5% over the last fiscal year+6.1% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Mar 28, 2016; every figure names its basis
RAUM per advisor
$268MderivedRAUM 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
$11.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
76%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
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-4.5%derivedbetween the last two annual amendments
Advisor growth, one year
-50%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, educational seminarsreportedItem 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
24reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, commissionsreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • L•••• D••••• J••••• · Managing Member/Principalcontrol
        since 04/2012 · owns 75% or more
      • S••••••••• G•••• J••••• · Chief Compliance Officer
        since 12/2012 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 23 to 24
        Nov 24, 2015 to Mar 28, 2016
      • Advisory employees · 2 to 1
        Nov 24, 2015 to Mar 28, 2016
      • BD registered reps · 0 to 1
        Nov 24, 2015 to Mar 28, 2016
      • Employees · 3 to 1
        Nov 24, 2015 to Mar 28, 2016
      • State-registered IARs · 2 to 1
        Nov 24, 2015 to Mar 28, 2016
      • Discretionary RAUM · $216M to $203M
        Nov 24, 2015 to Mar 28, 2016
      • RAUM · $281M to $268M
        Nov 24, 2015 to Mar 28, 2016
      • BD registered reps · 1 to 0
        Mar 28, 2016 to Mar 28, 2016
      • Discretionary RAUM · $220M to $216M
        Aug 12, 2014 to Mar 31, 2015
      • Non-discretionary RAUM · $52.3M to $65.0M
        Aug 12, 2014 to Mar 31, 2015
      • RAUM · $272M to $281M
        Aug 12, 2014 to Mar 31, 2015
      • Accounts · 19 to 23
        Jan 10, 2014 to Mar 28, 2014
      • Advisory employees · 1 to 2
        Jan 10, 2014 to Mar 28, 2014
      • Commission compensation · false to true
        Jan 10, 2014 to Mar 28, 2014
      • Employees · 2 to 3
        Jan 10, 2014 to Mar 28, 2014
      • State-registered IARs · 0 to 2
        Jan 10, 2014 to Mar 28, 2014
      • Discretionary RAUM · $224M to $220M
        Jan 10, 2014 to Mar 28, 2014
      • Non-discretionary RAUM · $0 to $52.3M
        Jan 10, 2014 to Mar 28, 2014
      • RAUM · $224M to $272M
        Jan 10, 2014 to Mar 28, 2014
      • Accounts · 18 to 19
        Mar 11, 2013 to Mar 28, 2013
      • Employees · 1 to 2
        Mar 11, 2013 to Mar 28, 2013
      • State-registered IARs · 1 to 0
        Mar 11, 2013 to Mar 28, 2013
      • Discretionary RAUM · $213M to $224M
        Mar 11, 2013 to Mar 28, 2013
      • RAUM · $213M to $224M
        Mar 11, 2013 to Mar 28, 2013
      • Accounts · 11 to 18
        Sep 17, 2012 to Nov 20, 2012
      • Advisory employees · unset to 1.0
        Sep 17, 2012 to Nov 20, 2012
      • BD registered reps · unset to 0.0
        Sep 17, 2012 to Nov 20, 2012
      • Employees · unset to 1.0
        Sep 17, 2012 to Nov 20, 2012
      • State-registered IARs · unset to 1.0
        Sep 17, 2012 to Nov 20, 2012
      • Discretionary RAUM · $79.0M to $213M
        Sep 17, 2012 to Nov 20, 2012
      • RAUM · $79.0M to $213M
        Sep 17, 2012 to Nov 20, 2012
      • Accounts · 0 to 11
        Jun 2, 2012 to Sep 17, 2012
      • Business name · M••• S••••• F•••••••• M••••••••• L•• to M••• S••••• F••••••••
        Jun 2, 2012 to Sep 17, 2012
      • Financial planning clients · 0 to 1-10
        Jun 2, 2012 to Sep 17, 2012
      • Discretionary RAUM · $0 to $79.0M
        Jun 2, 2012 to Sep 17, 2012
      • RAUM · $0 to $79.0M
        Jun 2, 2012 to Sep 17, 2012
      • Succession · false to true
        May 11, 2012 to Jun 2, 2012
      • Business name · L••• F•••••••• to M••• S••••• F•••••••• M••••••••• L••
        Jun 2, 2012 to Jun 2, 2012
      • Legal name · L••• F•••••••• LLC to M••• S••••• F•••••••• M••••••••• L••
        Jun 2, 2012 to Jun 2, 2012
      • Succession · true to false
        Jun 2, 2012 to Jun 2, 2012
      Signals
      2 dated events
      • ••• Locked
        Nov 20, 2012 · First SEC registration · fact
      • ••• Locked
        Jun 2, 2012 · Succession (Item 4) · fact
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      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
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026