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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Former SEC-registered adviser

C•••••• A•••• M••••••••• L••

Former SEC-registered adviserChicago, IllinoisCRD 170314SEC 801-79551IAPD
Latest filing Apr 24, 2017
First filing on the tape Mar 31, 2014 · 30 filings
RAUM
$141M
reported, Item 5.F
Discretionary
100%
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
8
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$141M as of Mar 13, 2017
Mar 31, 2015$42.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 13, 2017
Mar 31, 20155 then
Employees (5.A)8 as of Mar 13, 2017
Mar 31, 20158 then
Private funds: no history
RAUM +25% over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Apr 24, 2017; every figure names its basis
RAUM per advisor
$35.4MderivedRAUM 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
$521,785derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
2.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+25%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 assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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
271reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • C••••••• J•••• F•••••• · Ceo Cco Managing Directorcontrol
    since 02/2014 · owns less than 5%
  • Z••••••• T•••• C•••••• · Cfo Managing Directorcontrol
    since 02/2014 · owns less than 5%
Entity owners
  • M•• H•••••••• L•• · Sole Owner
    direct · owns 75% or more
  • M• F•••••••• B•••• N••• · Shareholder
    indirect · owns 75% or more of Msa Holdings LLC
  • M• F••••••••• I••• · Shareholder
    indirect · owns 75% or more of M• F•••••••• B•••• N••• · public reporting company
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
  • Sturgeon Bay, WI
What changed
consecutive filings, newest first
  • Accounts · 166 to 271
    Jan 6, 2017 to Mar 13, 2017
  • Advisory activities · 2 to 3
    Jan 6, 2017 to Mar 13, 2017
  • Discretionary RAUM · $113M to $141M
    Jan 6, 2017 to Mar 13, 2017
  • RAUM · $113M to $141M
    Jan 6, 2017 to Mar 13, 2017
  • Related bank · false to true
    Dec 14, 2016 to Jan 6, 2017
  • Accounts · 165 to 166
    Jan 14, 2016 to Mar 1, 2016
  • Advisory employees · 5 to 6
    Jan 14, 2016 to Mar 1, 2016
  • State-registered IARs · 5 to 4
    Jan 14, 2016 to Mar 1, 2016
  • Discretionary RAUM · $110M to $113M
    Jan 14, 2016 to Mar 1, 2016
  • RAUM · $110M to $113M
    Jan 14, 2016 to Mar 1, 2016
  • Accounts · 169 to 165
    Jan 14, 2016 to Jan 14, 2016
  • Insurance-licensed employees · 1 to 0
    Jan 14, 2016 to Jan 14, 2016
  • Discretionary RAUM · $113M to $110M
    Jan 14, 2016 to Jan 14, 2016
  • RAUM · $113M to $110M
    Jan 14, 2016 to Jan 14, 2016
  • Accounts · 55 to 169
    Jun 3, 2015 to Dec 10, 2015
  • Advisory activities · 3 to 2
    Jun 3, 2015 to Dec 10, 2015
  • Discretionary RAUM · $42.2M to $113M
    Jun 3, 2015 to Dec 10, 2015
  • RAUM · $42.2M to $113M
    Jun 3, 2015 to Dec 10, 2015
  • Accounts · 34 to 55
    Feb 11, 2015 to Mar 31, 2015
  • Employees · 7 to 8
    Feb 11, 2015 to Mar 31, 2015
  • Insurance-licensed employees · 2 to 1
    Feb 11, 2015 to Mar 31, 2015
  • Discretionary RAUM · $29.6M to $42.2M
    Feb 11, 2015 to Mar 31, 2015
  • RAUM · $29.6M to $42.2M
    Feb 11, 2015 to Mar 31, 2015
  • Accounts · 20 to 34
    Sep 18, 2014 to Nov 26, 2014
  • Discretionary RAUM · $24.5M to $29.6M
    Sep 18, 2014 to Nov 26, 2014
  • RAUM · $24.5M to $29.6M
    Sep 18, 2014 to Nov 26, 2014
  • Accounts · 18 to 20
    Sep 5, 2014 to Sep 18, 2014
  • Advisory activities · 2 to 3
    Sep 5, 2014 to Sep 18, 2014
  • Discretionary RAUM · $24.4M to $24.5M
    Sep 5, 2014 to Sep 18, 2014
  • RAUM · $24.4M to $24.5M
    Sep 5, 2014 to Sep 18, 2014
  • Accounts · 5 to 18
    Jul 23, 2014 to Aug 19, 2014
  • Discretionary RAUM · $8.6M to $24.4M
    Jul 23, 2014 to Aug 19, 2014
  • RAUM · $8.6M to $24.4M
    Jul 23, 2014 to Aug 19, 2014
  • Accounts · 0 to 5
    Jul 17, 2014 to Jul 23, 2014
  • Discretionary RAUM · $0 to $8.6M
    Jul 17, 2014 to Jul 23, 2014
  • RAUM · $0 to $8.6M
    Jul 17, 2014 to Jul 23, 2014
Signals
1 dated events
  • C•••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)
    Mar 31, 2014 · 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.
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