DFX Intelligence

RIA Intelligence

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SEC-registered adviser

M•••• F•••••••• G••••• L•••

Independent wealth managerBatavia, IllinoisCRD 174339SEC 801-101531website IAPD

Latest filing May 19, 2026

First filing on the tape Jul 15, 2015 · 27 filings

SEC status approved since Jul 28, 2015

RAUM

$191M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$191M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$63.5M

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

27 filings and snapshots on the tape

RAUM$191M as of May 19, 2026

Mar 29, 2016$97.5M then

HNW client RAUM$104M as of May 19, 2026

Mar 10, 2018$34.8M then

State-registered IARs (5.B.3)3 as of May 19, 2026

Mar 29, 20163 then

Employees (5.A)4 as of May 19, 2026

Mar 29, 20165 then

Private funds: no history

RAUM +11% over the last fiscal year+7.6% a year over threeIARs 3 to 3

Practice profile

derived from the filing of May 19, 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
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets

RAUM per advisor: $63.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 99derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.0MderivedHNW RAUM over HNW clients
Average account: $314,571derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.3derivedItem 5.A over advisors
Advisors per office: 3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +11%derivedbetween the last two annual amendments
Advisor growth, one year: -33%derivedItem 5.B.3 between annual amendments
Client growth, one year: -12%derived
Compensation: percentage of assets, hourlyreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
Wrap fee program: $191MreportedItem 5.I
Custody: $109M, 167 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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$104M55%
Individuals$86.7M45%
Corporations and businesses$19,8610.0%

Individual clients: 244reported
HNW clients: 52reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 606reported
Financial planning clients: 0reported
Wrap fee programs: $0 sponsored, $0 managedreported
Custody of client assets: $109M for 167 clientsreported
Compensation: % of AUM, hourlyreported
Class basis: private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=3.0derived

Advisors registered through the firm

3 on IAPD today, longest tenure first

Name	Branch	Here since	In industry
T••• J•••••••• M••••Certified Financial Planner	Batavia, Il	Aug 6, 2015	27 y
M••• L••••• K••••••	Batavia, Il	Sep 10, 2020	21 y
S••••••• M••••	Batavia, Il	May 18, 2026	10 y

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 headcount1 left over 36 months

Left, latest

T••••• C•••• L•••• to W•••• F•••• A•••••••
Jun 25, 2025 · RIA to wirehouse
J•••• J••••• C••• to L•• F•••••••• L••
Nov 8, 2019 · RIA to RIA

Joined, latest

none on the tape

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

K••••••• M•••• L••••• · Chief Compliance Officercontrol
since 03/2018 · owns less than 5%
M••••• T•••• J•••••••• · President, Secretary, Treasurercontrol
since 01/2015 · owns 75% or more

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
Batavia, Il · principal	3	1	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Advisory employees · 2 to 3
Feb 13, 2026 to May 19, 2026
BD registered reps · 2 to 3
Feb 13, 2026 to May 19, 2026
State-registered IARs · 2 to 3
Feb 13, 2026 to May 19, 2026
Accounts · 665 to 606
Oct 22, 2025 to Feb 13, 2026
Advisory employees · 3 to 2
Oct 22, 2025 to Feb 13, 2026
BD registered reps · 3 to 2
Oct 22, 2025 to Feb 13, 2026
HNW clients · 43 to 52
Oct 22, 2025 to Feb 13, 2026
Individual clients · 295 to 244
Oct 22, 2025 to Feb 13, 2026
Assets in custody · $87.3M to $109M
Oct 22, 2025 to Feb 13, 2026
Employees · 5 to 4
Oct 22, 2025 to Feb 13, 2026
State-registered IARs · 3 to 2
Oct 22, 2025 to Feb 13, 2026
Discretionary RAUM · $172M to $191M
Oct 22, 2025 to Feb 13, 2026
HNW RAUM · $78.0M to $104M
Oct 22, 2025 to Feb 13, 2026
Individual RAUM · $94.3M to $86.7M
Oct 22, 2025 to Feb 13, 2026
RAUM · $172M to $191M
Oct 22, 2025 to Feb 13, 2026
Financial planning clients · 0 to 0
Jan 31, 2025 to Oct 22, 2025
Accounts · 1,613 to 665
Feb 21, 2024 to Jan 31, 2025
HNW clients · 36 to 43
Feb 21, 2024 to Jan 31, 2025
Individual clients · 327 to 295
Feb 21, 2024 to Jan 31, 2025
Assets in custody · $95.9M to $87.3M
Feb 21, 2024 to Jan 31, 2025
Discretionary RAUM · $143M to $172M
Feb 21, 2024 to Jan 31, 2025
HNW RAUM · $57.0M to $78.0M
Feb 21, 2024 to Jan 31, 2025
Individual RAUM · $109M to $94.3M
Feb 21, 2024 to Jan 31, 2025
Non-discretionary RAUM · $23.1M to $0
Feb 21, 2024 to Jan 31, 2025
RAUM · $166M to $172M
Feb 21, 2024 to Jan 31, 2025
Accounts · 1,115 to 1,613
Feb 24, 2023 to Feb 21, 2024
HNW clients · 27 to 36
Feb 24, 2023 to Feb 21, 2024
Individual clients · 332 to 327
Feb 24, 2023 to Feb 21, 2024
Assets in custody · $70.2M to $95.9M
Feb 24, 2023 to Feb 21, 2024
Discretionary RAUM · $130M to $143M
Feb 24, 2023 to Feb 21, 2024
HNW RAUM · $41.5M to $57.0M
Feb 24, 2023 to Feb 21, 2024
Individual RAUM · $111M to $109M
Feb 24, 2023 to Feb 21, 2024
Non-discretionary RAUM · $22.8M to $23.1M
Feb 24, 2023 to Feb 21, 2024
RAUM · $153M to $166M
Feb 24, 2023 to Feb 21, 2024
Accounts · 1,120 to 1,115
Feb 23, 2022 to Feb 24, 2023
HNW clients · 33 to 27
Feb 23, 2022 to Feb 24, 2023
Individual clients · 264 to 332
Feb 23, 2022 to Feb 24, 2023
Assets in custody · $87.9M to $70.2M
Feb 23, 2022 to Feb 24, 2023
Discretionary RAUM · $136M to $130M
Feb 23, 2022 to Feb 24, 2023
HNW RAUM · $48.3M to $41.5M
Feb 23, 2022 to Feb 24, 2023

Signals

2 dated events

T••••• C•••• L•••• left M•••• F•••••••• G••••• L••• for W•••• F•••• A••••••• (registered 2025-10-22)
Jun 25, 2025 · Advisor changed firm · fact
M•••• F•••••••• G••••• L••• filed its initial SEC registration (Form ADV)
Jul 15, 2015 · 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: 630-879-8464reportedpublished by the firm, firm site, Sep 16, 2026
Business phone: 630-879-8595reportedpublished by the firm, firm site, Sep 16, 2026
Website: M••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 630-879-8464reportedpublic record, Form ADV, May 19, 2026
Contact form: m•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
Team page: m•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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: $63.5Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026