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.
Former SEC-registered adviser
Capital Management Consultants, Inc.
Latest filing Jun 23, 2023
First filing on the tape Mar 30, 2012 · 18 filings
RAUM
$84.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$82.5M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$42.0M
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$84.1M as of Mar 24, 2023
Mar 30, 2012$94.1M then
HNW client RAUM$71.3M as of Mar 24, 2023
Mar 30, 2018$88.5M then
State-registered IARs (5.B.3)7 as of Mar 24, 2023
Mar 11, 20139 then
Employees (5.A)7 as of Mar 24, 2023
Mar 11, 20139 then
Private funds: no history
RAUM -16% over the last fiscal year-6.8% a year over threeIARs 7 to 6offices 1 to 0
Practice profile
derived from the filing of Jun 23, 2023; every figure names its basis
- RAUM per advisor
- $42.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 54derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $339,069derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -6.9%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$71.3M85%
- Individuals$11.2M13%
- Pension and profit-sharing plans$1.6M1.9%
- Individual clients
- 68reported
- HNW clients
- 40reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 248reported
- Financial planning clients
- 1-10reported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Marc Michael Davis | Northbrook, Il | May 28, 1998 | 32 y | 0 |
| Ann Marie Davis | Northbrook, Il | Nov 10, 2011 | 15 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 headcount1 left over 36 months
Left, latest
- Stephen Richard Smith to Significant Wealth Partners LLCFeb 20, 2024 · RIA to RIA
- Lawrence Edward Gatz to Significant Wealth Partners LLCJan 10, 2019 · RIA to RIA
- Scott Robert Smith to Significant Wealth Partners LLCJan 10, 2019 · RIA to RIA
Joined, latest
- Lawrence Edward Gatz from Kingsview Wealth Management, LLCNov 13, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Significant Wealth Partners LLCJan 10, 2019 · Cary, Il
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Michael Marc Davis · President/Chief Compliance Officercontrolsince 02/2002 · owns 50% to 75%
- Nicholas Robert Stumpf · Treasurercontrolsince 12/1994 · owns 25% to 50%
Related persons
Schedule D 7.A
- Business & Professional Consultants, Ltdinsurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Northbrook, Il | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 7 to 6Mar 24, 2023 to Jun 23, 2023
- Employees · 7 to 6Mar 24, 2023 to Jun 23, 2023
- HQ city · DEERFIELD to unsetMar 24, 2023 to Jun 23, 2023
- HQ state · IL to unsetMar 24, 2023 to Jun 23, 2023
- State-registered IARs · 7 to 6Mar 24, 2023 to Jun 23, 2023
- Other offices · 1 to 0Mar 24, 2023 to Jun 23, 2023
- Accounts · 276 to 248Mar 28, 2022 to Mar 24, 2023
- HNW clients · 45 to 40Mar 28, 2022 to Mar 24, 2023
- Individual clients · 71 to 68Mar 28, 2022 to Mar 24, 2023
- Financial planning clients · 11-25 to 1-10Mar 28, 2022 to Mar 24, 2023
- Discretionary RAUM · $99.2M to $84.1MMar 28, 2022 to Mar 24, 2023
- HNW RAUM · $83.1M to $71.3MMar 28, 2022 to Mar 24, 2023
- Individual RAUM · $15.7M to $11.2MMar 28, 2022 to Mar 24, 2023
- Non-discretionary RAUM · $1.4M to $0Mar 28, 2022 to Mar 24, 2023
- Pension RAUM · $1.8M to $1.6MMar 28, 2022 to Mar 24, 2023
- RAUM · $101M to $84.1MMar 28, 2022 to Mar 24, 2023
- Accounts · 305 to 276Mar 30, 2021 to Mar 28, 2022
- HNW clients · 46 to 45Mar 30, 2021 to Mar 28, 2022
- Individual clients · 79 to 71Mar 30, 2021 to Mar 28, 2022
- Discretionary RAUM · $101M to $99.2MMar 30, 2021 to Mar 28, 2022
- HNW RAUM · $71.4M to $83.1MMar 30, 2021 to Mar 28, 2022
- Individual RAUM · $29.9M to $15.7MMar 30, 2021 to Mar 28, 2022
- Non-discretionary RAUM · $1.6M to $1.4MMar 30, 2021 to Mar 28, 2022
- Pension RAUM · $1.6M to $1.8MMar 30, 2021 to Mar 28, 2022
- RAUM · $103M to $101MMar 30, 2021 to Mar 28, 2022
- Accounts · 332 to 305Jun 24, 2020 to Mar 30, 2021
- HNW clients · 49 to 46Jun 24, 2020 to Mar 30, 2021
- Discretionary RAUM · $102M to $101MJun 24, 2020 to Mar 30, 2021
- HNW RAUM · $80.0M to $71.4MJun 24, 2020 to Mar 30, 2021
- Individual RAUM · $22.4M to $29.9MJun 24, 2020 to Mar 30, 2021
- Non-discretionary RAUM · $1.6M to $1.6MJun 24, 2020 to Mar 30, 2021
- Pension RAUM · unset to 1594885.0Jun 24, 2020 to Mar 30, 2021
- RAUM · $104M to $103MJun 24, 2020 to Mar 30, 2021
- Accounts · 487 to 332Mar 26, 2019 to Mar 30, 2020
- HNW clients · 47 to 49Mar 26, 2019 to Mar 30, 2020
- Individual clients · 194 to 79Mar 26, 2019 to Mar 30, 2020
- Discretionary RAUM · $117M to $102MMar 26, 2019 to Mar 30, 2020
- HNW RAUM · $81.2M to $80.0MMar 26, 2019 to Mar 30, 2020
- Individual RAUM · $35.9M to $22.4MMar 26, 2019 to Mar 30, 2020
- Non-discretionary RAUM · $1.5M to $1.6MMar 26, 2019 to Mar 30, 2020
Signals
1 dated events
- Stephen Richard Smith left Capital Management Consultants, Inc. for Significant Wealth Partners Llc (registered 2018-07-12)Feb 20, 2024 · Advisor changed firm · 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
- CAPITALMANAGEMENTCONSULTANTS.NETreportedpublic record, Form ADV, Sep 18, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $42.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026