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••• I••••••••• S••••••••• I•••
Latest filing Mar 31, 2026
First filing on the tape Mar 27, 2012 · 37 filings
SEC status approved since May 28, 1987
RAUM
$303M
reported, Item 5.F
Discretionary
71%
of RAUM
Private clients
98%
$296M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$37.8M
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
37 filings and snapshots on the tape
RAUM$303M as of Mar 31, 2026
Mar 27, 2012$99.4M then
HNW client RAUM$231M as of Mar 31, 2026
Mar 28, 2018$72.2M then
State-registered IARs (5.B.3)6 as of Mar 31, 2026
Mar 25, 20135 then
Employees (5.A)8 as of Mar 31, 2026
Mar 25, 20137 then
Private funds: no history
RAUM +15% over the last fiscal year+14% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- 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
- $37.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 83derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $818,326derivedHNW RAUM over HNW clients
- Average account
- $297,532derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 71%derivedof RAUM
- Institutional
- 2.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.5%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, publicationsreportedItem 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
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- 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
- High-net-worth individuals$231M76%
- Individuals$65.0M21%
- Pension and profit-sharing plans$6.8M2.3%
- Individual clients
- 379reported
- HNW clients
- 282reported
- Pension plan clients
- 12reported
- Charitable clients
- n/areported
- Accounts
- 1,017reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=8.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••••• W••••• M•••Certified Financial Planner | Northfield, Il | Jul 20, 1998 | 45 y | 1 |
| J••• A•••••• K••••Certified Financial Planner | Northfield, Il | Jul 20, 1998 | 37 y | 1 |
| S••••• B•••• M••••••• | Lincolnshire, Il | Jul 20, 1998 | 34 y | 0 |
| J••• R•••••• B•••••• | Northfield, Il | Jun 22, 2010 | 34 y | 1 |
| K•••• E••••• M••• | Northfield, Il | Aug 1, 2012 | 20 y | 0 |
| M•••••• S•••••• M•••Certified Financial Planner | Northfield, Il | May 12, 2020 | 18 y | 2 |
| S•••••• D•••• K•••Certified Financial Planner | Northfield, Il | Aug 24, 2026 | 38 y | 0 |
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
- E••••• W••••• G••••••• I• to E••••• W••••• G••••• L••Jul 1, 2020 · RIA to RIA
- M•••••• S•••••• M••• to J••• M••••• S••••••••• L••Jun 7, 2016 · Other
- M••••• P••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 15, 2013 · Other
- J•••• A••• I•••• to C••••• I••••••••• A••••••• L••Dec 16, 2011 · Other
- A•• M•••• M••••••••• to D••••••••• R••••••••• P•••••••• I•••Dec 1, 2011 · Other
Joined, latest
- M•••••• S•••••• M••• from J••• M••••• S••••••••• L••May 12, 2020 · Wirehouse to independent RIA
- J••• R•••••• B•••••• from M•••••• F•••••••• A•• I••••••••• S•••••••• I•••Jun 22, 2010 · Other
- A•• M•••• M••••••••• from H••••••• C•••••• M••••••••• I••Jan 2, 2009 · Other
- J•••• A••• I•••• from S••••••• P•••••••• A••••••••• S•••••• I••Jan 2, 2004 · Other
- S•••••• W••••• M••• from H••••••• C•••••• M••••••••• I••Jul 20, 1998 · Other
- N••••• P•••• C••••••• from H••••••• C•••••• M••••••••• I••Jul 20, 1998 · Other
- J••• A•••••• K•••• from H••••••• C•••••• M••••••••• I••Jul 20, 1998 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••• S•••••• W••••• · Trustee Is President And Ccocontrolsince 01/1986 · owns 75% or more
Related persons
Schedule D 7.A
- R••••••••• P•••••••• I•••investment advisery
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Northfield, Il · principal | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Oak Brook, IL1 employees
What changed
consecutive filings, newest first
- Accounts · 998 to 1,017Mar 31, 2025 to Mar 31, 2026
- HNW clients · 270 to 282Mar 31, 2025 to Mar 31, 2026
- Individual clients · 394 to 379Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $191M to $215MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $204M to $231MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $52.3M to $65.0MMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $72.7M to $87.9MMar 31, 2025 to Mar 31, 2026
- Pension RAUM · $6.8M to $6.8MMar 31, 2025 to Mar 31, 2026
- RAUM · $264M to $303MMar 31, 2025 to Mar 31, 2026
- Accounts · 1,009 to 998May 10, 2024 to Mar 31, 2025
- Advisory employees · 3 to 8May 10, 2024 to Mar 31, 2025
- BD registered reps · 7 to 8May 10, 2024 to Mar 31, 2025
- HNW clients · 338 to 270May 10, 2024 to Mar 31, 2025
- Individual clients · 351 to 394May 10, 2024 to Mar 31, 2025
- Employees · 7 to 8May 10, 2024 to Mar 31, 2025
- Financial planning clients · 251-500 to 251-500May 10, 2024 to Mar 31, 2025
- State-registered IARs · 7 to 6May 10, 2024 to Mar 31, 2025
- Discretionary RAUM · $171M to $191MMay 10, 2024 to Mar 31, 2025
- HNW RAUM · $179M to $204MMay 10, 2024 to Mar 31, 2025
- Individual RAUM · $36.9M to $52.3MMay 10, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $51.0M to $72.7MMay 10, 2024 to Mar 31, 2025
- Pension RAUM · $5.9M to $6.8MMay 10, 2024 to Mar 31, 2025
- RAUM · $222M to $264MMay 10, 2024 to Mar 31, 2025
- Accounts · 1,013 to 1,009Apr 1, 2024 to May 10, 2024
- HNW clients · 339 to 338Apr 1, 2024 to May 10, 2024
- Individual clients · 352 to 351Apr 1, 2024 to May 10, 2024
- HNW RAUM · $180M to $179MApr 1, 2024 to May 10, 2024
- Individual RAUM · $37.1M to $36.9MApr 1, 2024 to May 10, 2024
- Non-discretionary RAUM · $52.6M to $51.0MApr 1, 2024 to May 10, 2024
- RAUM · $223M to $222MApr 1, 2024 to May 10, 2024
- Accounts · 1,008 to 1,013Dec 18, 2023 to Mar 30, 2024
- BD registered reps · 5 to 7Dec 18, 2023 to Mar 30, 2024
- HNW clients · 269 to 339Dec 18, 2023 to Mar 30, 2024
- Individual clients · 371 to 352Dec 18, 2023 to Mar 30, 2024
- Pension plan clients · 10 to 12Dec 18, 2023 to Mar 30, 2024
- State-registered IARs · 3 to 7Dec 18, 2023 to Mar 30, 2024
- Discretionary RAUM · $154M to $171MDec 18, 2023 to Mar 30, 2024
- HNW RAUM · $157M to $180MDec 18, 2023 to Mar 30, 2024
- Individual RAUM · $42.1M to $37.1MDec 18, 2023 to Mar 30, 2024
- Non-discretionary RAUM · $49.9M to $52.6MDec 18, 2023 to Mar 30, 2024
Signals
3 dated events
- Brian Joseph Petraitis (Chief Compliance Officer) no longer on Schedule A of M••• I••••••••• S••••••••• I••• (listed 2021-11-05, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Brian Joseph Petraitis (Chief Compliance Officer) appeared on Schedule A of M••• I••••••••• S••••••••• I•••Mar 30, 2021 · Control person joined · fact
- Edward Walter Ii Gjertsen (Vice-President) no longer on Schedule A of M••• I••••••••• S••••••••• I••• (listed 2020-06-30, absent 2020-08-14)Aug 14, 2020 · Control person left · inference
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
- c•••••••@m•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- d•••@m•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- l•••@m•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- l••••@m•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- m•••••@m•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- m••••••@m•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- r•••••@m•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- t••••@m•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 847-657-6600reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 847-657-6605reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- M•••TRACKS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 847-657-6600reportedpublic record, Form ADV, Mar 31, 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
- $37.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026