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

M•••• F•••••••• S•••••••• I•••

Former SEC-registered adviserNaperville, IllinoisCRD 174457SEC 801-119195IAPD
Latest filing Mar 23, 2023
First filing on the tape Jun 30, 2020 · 6 filings
RAUM
$119M
reported, Item 5.F
Discretionary
66%
of RAUM
Private clients
78%
$92.7M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
6 filings and snapshots on the tape
RAUM$119M as of Mar 23, 2023
Feb 23, 2021$123M then
HNW client RAUM$66.9M as of Mar 23, 2023
Feb 23, 2021$71.0M then
State-registered IARs (5.B.3)2 as of Mar 23, 2023
Feb 23, 20213 then
Employees (5.A)3 as of Mar 23, 2023
Feb 23, 20213 then
Private funds: no history
RAUM -8.6% over the last fiscal yearIARs 3 to 2
Practice profile
derived from the filing of Mar 23, 2023; every figure names its basis
RAUM per advisor
$59.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
71derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.7MderivedHNW RAUM over HNW clients
Average account
$291,447derivedRAUM over accounts (5.F.2.f)
Discretionary
66%derivedof RAUM
Institutional
22%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
-8.6%derivedbetween the last two annual amendments
Advisor growth, one year
-33%derivedItem 5.B.3 between annual amendments
Client growth, one year
+6.0%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
Custody
$26.8M, 73 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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$66.9M56%
  • Individuals$25.8M22%
  • Pension and profit-sharing plans$17.2M15%
  • Charitable organizations$8.7M7.3%
Individual clients
102reported
HNW clients
39reported
Pension plan clients
3reported
Charitable clients
3reported
Accounts
407reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$26.8M for 73 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • A•••••••• C••••• C••••••••• · President & Chief Compliance Officercontrol
    since 05/2013 · 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
OfficeAdvisorsJoinedLeftTeams outForming
Naperville, Il · principal000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 311 to 407
    Mar 30, 2022 to Mar 23, 2023
  • Advisory employees · 3 to 2
    Mar 30, 2022 to Mar 23, 2023
  • HNW clients · 40 to 39
    Mar 30, 2022 to Mar 23, 2023
  • Individual clients · 93 to 102
    Mar 30, 2022 to Mar 23, 2023
  • Assets in custody · $29.1M to $26.8M
    Mar 30, 2022 to Mar 23, 2023
  • State-registered IARs · 3 to 2
    Mar 30, 2022 to Mar 23, 2023
  • Discretionary RAUM · $111M to $77.9M
    Mar 30, 2022 to Mar 23, 2023
  • HNW RAUM · $75.9M to $66.9M
    Mar 30, 2022 to Mar 23, 2023
  • Individual RAUM · $26.0M to $25.8M
    Mar 30, 2022 to Mar 23, 2023
  • Non-discretionary RAUM · $19.2M to $40.7M
    Mar 30, 2022 to Mar 23, 2023
  • Pension RAUM · $18.4M to $17.2M
    Mar 30, 2022 to Mar 23, 2023
  • RAUM · $130M to $119M
    Mar 30, 2022 to Mar 23, 2023
  • Employees · 4 to 3
    Nov 4, 2021 to Mar 30, 2022
  • Financial planning clients · 1-10 to 0
    Nov 4, 2021 to Mar 30, 2022
  • Discretionary RAUM · $91.9M to $111M
    Nov 4, 2021 to Mar 30, 2022
  • HNW RAUM · $71.0M to $75.9M
    Nov 4, 2021 to Mar 30, 2022
  • Individual RAUM · $27.3M to $26.0M
    Nov 4, 2021 to Mar 30, 2022
  • Non-discretionary RAUM · $31.1M to $19.2M
    Nov 4, 2021 to Mar 30, 2022
  • Pension RAUM · $17.1M to $18.4M
    Nov 4, 2021 to Mar 30, 2022
  • RAUM · $123M to $130M
    Nov 4, 2021 to Mar 30, 2022
  • Accounts · 363 to 311
    Nov 4, 2021 to Mar 30, 2022
  • Individual clients · 98 to 93
    Nov 4, 2021 to Mar 30, 2022
  • Assets in custody · $12.3M to $29.1M
    Nov 4, 2021 to Mar 30, 2022
  • Employees · 3 to 4
    Apr 19, 2021 to Nov 4, 2021
  • Accounts · 356 to 363
    Jun 30, 2020 to Feb 23, 2021
  • Advisory activities · 5 to 4
    Jun 30, 2020 to Feb 23, 2021
  • Charity clients · unset to 3.0
    Jun 30, 2020 to Feb 23, 2021
  • HNW clients · 20 to 40
    Jun 30, 2020 to Feb 23, 2021
  • Individual clients · 119 to 98
    Jun 30, 2020 to Feb 23, 2021
  • Pension plan clients · unset to 3.0
    Jun 30, 2020 to Feb 23, 2021
  • Assets in custody · $21.0M to $12.3M
    Jun 30, 2020 to Feb 23, 2021
  • Discretionary RAUM · $79.5M to $91.9M
    Jun 30, 2020 to Feb 23, 2021
  • HNW RAUM · $36.9M to $71.0M
    Jun 30, 2020 to Feb 23, 2021
  • Individual RAUM · $47.4M to $27.3M
    Jun 30, 2020 to Feb 23, 2021
  • Non-discretionary RAUM · $25.7M to $31.1M
    Jun 30, 2020 to Feb 23, 2021
  • Pension RAUM · unset to 17088403.0
    Jun 30, 2020 to Feb 23, 2021
  • RAUM · $105M to $123M
    Jun 30, 2020 to Feb 23, 2021
Signals
3 dated events
  • C•••• C••••••••• A••••••• left M•••• F•••••••• S•••••••• I••• for C••• L•• (registered 2023-05-08)
    Dec 31, 2023 · a•••••• firm change · fact
  • William John Meyer (President) no longer on Schedule A of M•••• F•••••••• S•••••••• I••• (listed 2021-04-19, absent 2021-11-04)
    Nov 4, 2021 · Control person left · inference
  • M•••• F•••••••• S•••••••• I••• filed its initial SEC registration (Form ADV)
    Jun 30, 2020 · 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