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•••••• F•••••••• G••••
Legal name L••••••• W••••• M••••••••• I•••
Latest filing Sep 11, 2026
First filing on the tape Apr 23, 2024 · 9 filings
SEC status approved since Jun 6, 2024
RAUM
$287M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$287M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$41.0M
derived; firm RAUM over IAPD count
Employees
8
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$287M as of Jun 25, 2026
Mar 26, 2025$223M then
HNW client RAUM$229M as of Jun 25, 2026
Mar 26, 2025$169M then
State-registered IARs (5.B.3)7 as of Jun 25, 2026
Mar 26, 20255 then
Employees (5.A)8 as of Jun 25, 2026
Mar 26, 20256 then
Private funds: no history
RAUM +29% over the last fiscal yearIARs 5 to 7
Practice profile
derived from the filing of Sep 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
- RAUM per advisor
- $41.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 34derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $422,104derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 3.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +29%derivedbetween the last two annual amendments
- Advisor growth, one year
- +40%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $118M, 209 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$229M80%
- Individuals$57.7M20%
- Charitable organizations$358,0100.1%
- Individual clients
- 139reported
- HNW clients
- 97reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 680reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $118M for 209 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K••••• D••• M••••••Chartered Financial Consultant | Normal, Il | Jun 17, 2013 | 18 y | 3 |
| R••••• L••••• M•••••• | Normal, Il | Aug 27, 2020 | 26 y | 1 |
| J•••• A•• K••••••• | Normal, Il | Feb 22, 2022 | 13 y | 0 |
| D•••• Z•••••• B•••••Certified Financial Planner | Normal, Il | May 23, 2023 | 12 y | 0 |
| N••••• M•••••• S••••• | Normal, Il | Jan 23, 2026 | 10 y | 0 |
| I•• J••••• C•••••• | Normal, Il | Jan 31, 2026 | 11 y | 0 |
| K•••••• M•••••• S•••••Certified Financial Planner | Normal, Il | Sep 11, 2026 | 12 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 14% of current headcount1 left over 36 months
Left, latest
- C•••• P•••• to T••• W•••••• L••Jun 18, 2026 · RIA to a state-registered adviser
Joined, latest
- C•••• P•••• from W•••• F•••• A•••••••Nov 7, 2024 · Wirehouse to independent RIA
- R••••• L••••• M•••••• from M••••• I••••••••• L••Aug 27, 2020 · RIA to RIA
- K••••• D••• M•••••• from C• A••••••• S•••••••Jun 17, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• K•••••• D••• · Trustee/President/Chief Compliance Officercontrolsince 03/2013 · owns 75% or more
- M••••••• R•••••• L••••• · Trustee/Vice Presidentcontrolsince 04/2018 · owns 75% or more
Entity owners
- T•• M•••••• F••••• T•••• D•••• A•••• 3•• 2••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- M•••••• T•• A•• F•••••••• S•••••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Normal, Il · principal | 7 | 3 | 1 |
Offices
Schedule D 1.F, the 25 largest
- , 2 employees
What changed
consecutive filings, newest first
- Financial planning clients · 1-10 to 1-10Jun 25, 2026 to Sep 11, 2026
- Succession · false to unsetJun 25, 2026 to Sep 11, 2026
- Accounts · 619 to 680May 14, 2025 to Mar 11, 2026
- Advisory employees · 6 to 8May 14, 2025 to Mar 11, 2026
- HNW clients · 84 to 97May 14, 2025 to Mar 11, 2026
- Individual clients · 142 to 139May 14, 2025 to Mar 11, 2026
- Assets in custody · $95.6M to $118MMay 14, 2025 to Mar 11, 2026
- Employees · 6 to 8May 14, 2025 to Mar 11, 2026
- State-registered IARs · 5 to 7May 14, 2025 to Mar 11, 2026
- Discretionary RAUM · $223M to $287MMay 14, 2025 to Mar 11, 2026
- HNW RAUM · $169M to $229MMay 14, 2025 to Mar 11, 2026
- Individual RAUM · $54.1M to $57.7MMay 14, 2025 to Mar 11, 2026
- RAUM · $223M to $287MMay 14, 2025 to Mar 11, 2026
- Financial planning clients · 1-10 to 1-10Mar 26, 2025 to May 14, 2025
- Accounts · 553 to 619May 13, 2024 to Mar 26, 2025
- Advisory employees · 5 to 6May 13, 2024 to Mar 26, 2025
- Advisory activities · 3 to 4May 13, 2024 to Mar 26, 2025
- HNW clients · 62 to 84May 13, 2024 to Mar 26, 2025
- Individual clients · 150 to 142May 13, 2024 to Mar 26, 2025
- Assets in custody · $22.7M to $95.6MMay 13, 2024 to Mar 26, 2025
- Employees · 5 to 6May 13, 2024 to Mar 26, 2025
- State-registered IARs · 4 to 5May 13, 2024 to Mar 26, 2025
- Discretionary RAUM · $160M to $223MMay 13, 2024 to Mar 26, 2025
- HNW RAUM · $97.8M to $169MMay 13, 2024 to Mar 26, 2025
- Individual RAUM · $61.9M to $54.1MMay 13, 2024 to Mar 26, 2025
- RAUM · $160M to $223MMay 13, 2024 to Mar 26, 2025
Signals
2 dated events
- C•••• P•••• left M•••••• F•••••••• G•••• for T••• W•••••• L•• (registered 2026-08-24)Jun 18, 2026 · Advisor changed firm · fact
- M•••••• F•••••••• G•••• filed its initial SEC registration (Form ADV)Apr 23, 2024 · 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
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 309-808-2224reportedpublic record, Form ADV, Sep 11, 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
- $41.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026