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•••••• M•••••••••
Legal name M•••••••• W••••• M••••••••• L••
Latest filing Feb 26, 2026
First filing on the tape May 15, 2025 · 3 filings
SEC status approved since Jun 16, 2025
RAUM
$167M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
86%
$143M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$83.3M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$167M as of Feb 26, 2026
May 15, 2025$133M then
HNW client RAUM$79.2M as of Feb 26, 2026
May 15, 2025$61.0M then
State-registered IARs (5.B.3)2 as of Feb 26, 2026
May 15, 20252 then
Employees (5.A)3 as of Feb 26, 2026
May 15, 20252 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Feb 26, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $83.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 72derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $356,939derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 14%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$79.2M48%
- Individuals$63.6M38%
- Charitable organizations$23.9M14%
- Individual clients
- 108reported
- HNW clients
- 35reported
- Pension plan clients
- 0reported
- Charitable clients
- 16reported
- Accounts
- 467reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.86 fund_share=0.0 institutional_share=0.14 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••••• J••• M••••••••Certified Financial Planner, Personal Financial Specialist | Frankfort, Il | Jun 15, 2012 | 37 y | 1 |
| C••••••••• J••••• M•••••••• | Frankfort, Il | Jun 15, 2012 | 16 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
- J••••• J••• M•••••••• from C••••• I••••••••• A••••••• L••Jun 15, 2012 · Other
- C••••••••• J••••• M•••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 15, 2012 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••••• J•••••• J••• · Managing Member And Principalcontrolsince 06/2012 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Frankfort, Il · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Individual clients · 100 to 108Aug 22, 2025 to Feb 26, 2026
- Accounts · 145 to 467Aug 22, 2025 to Feb 26, 2026
- Corporate clients · unset to 0.0Aug 22, 2025 to Feb 26, 2026
- HNW clients · 28 to 35Aug 22, 2025 to Feb 26, 2026
- Employees · 2 to 3Aug 22, 2025 to Feb 26, 2026
- Financial planning clients · 1-10 to 101-250Aug 22, 2025 to Feb 26, 2026
- Discretionary RAUM · $129M to $162MAug 22, 2025 to Feb 26, 2026
- HNW RAUM · $61.0M to $79.2MAug 22, 2025 to Feb 26, 2026
- Individual RAUM · $46.0M to $63.6MAug 22, 2025 to Feb 26, 2026
- Non-discretionary RAUM · $3.8M to $4.3MAug 22, 2025 to Feb 26, 2026
- RAUM · $133M to $167MAug 22, 2025 to Feb 26, 2026
Signals
No event on the tape.
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
- m••@m•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 708-925-9507reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- M••••••••-CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 708-925-9507reportedpublic record, Form ADV, Feb 26, 2026
- Contact form
- m•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $83.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026