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•••••••• A••••••••• I•••
Latest filing May 15, 2026
First filing on the tape Mar 30, 2012 · 33 filings
SEC status approved since Mar 25, 1997
RAUM
$47B
reported, Item 5.F
Discretionary
63%
of RAUM
Private clients
10%
$4.9B individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$12B
derived; firm RAUM over IAPD count
Employees
147
64 advisory (5.B.1)
Offices
8
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$47B as of May 15, 2026
Mar 30, 2012$71B then
HNW client RAUM$4.9B as of May 15, 2026
Mar 28, 2018$147M then
State-registered IARs (5.B.3)7 as of May 15, 2026
Mar 30, 20120 then
Employees (5.A)147 as of May 15, 2026
Mar 27, 201344 then
Private funds: no history
RAUM +32% over the last fiscal year+52% a year over threeIARs 10 to 7offices 6 to 8
Practice profile
derived from the filing of May 15, 2026; every figure names its basis
Archetypes, each a printed rule
- i••••••••• asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- ocio i••••••••• advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $12BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 26derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $47.9MderivedHNW RAUM over HNW clients
- Average account
- $135MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 63%derivedof RAUM
- Institutional
- 84%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 36.8derivedItem 5.A over advisors
- Advisors per office
- 0.4derived9 offices incl. principal (1.F.5)
- RAUM growth, one year
- +32%derivedbetween the last two annual amendments
- Advisor growth, one year
- -30%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +41%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consulting, selection of other advisers, publications, educational seminars, otherreportedItem 5.G
- Custody
- $49B, 364 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)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$17B39%
- Charitable organizations$17B38%
- State and municipal entities$5.3B12%
- High-net-worth individuals$4.9B11%
- Corporations and businesses$48.2M0.1%
- Individual clients
- 0reported
- HNW clients
- 103reported
- Pension plan clients
- 29reported
- Charitable clients
- 143reported
- Accounts
- 348reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $49B for 364 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.1 fund_share=0.0 institutional_share=0.84 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T•••••• T••••• B••••••Chartered Financial Analyst | Chicago, Il | May 8, 2020 | 26 y | 0 |
| A•••• R••• O•••••••Certified Financial Planner | Chicago, Il | Jun 18, 2020 | 19 y | 0 |
| L••••• C•••••••• C••••••• | Chicago, Il | Feb 14, 2024 | 13 y | 1 |
| R••• P•••••• T••••Certified Financial Planner | Denver, Co | Jan 1, 2026 | 13 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- R••• P•••••• T•••• from F•••••••• A••••••• L••Jan 1, 2026 · Other
- L••••• C•••••••• C••••••• from B••• I••••••••• I••••••••• A•••••••• I•••Feb 14, 2024 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••••• N•••••••• · Presidentcontrolsince 01/2021 · owns less than 5%
- W•••••• B••••• M••••••• · Chief Executive Officercontrolsince 07/1997 · owns 10% to 25%
- B••••••• T••••••• T••••• · Managing Directorsince 01/2006 · owns 5% to 10%
- C••••••••• B••••• A•••• · Managing Directorsince 01/2005 · owns 5% to 10%
- P••••• L•••••• S•••••••• · Chief Compliance Officer / Managing Partnersince 08/2021 · owns less than 5%
- S•••••• T•••••• A• · Managing Directorsince 01/2019 · owns 5% to 10%
- S••••• D••••• H••••••• · Managing Directorsince 01/2014 · owns 5% to 10%
- W•••••• J••••• R• · Managing Directorsince 01/2014 · owns 5% to 10%
- Z•••••• M•••••• A•••• · Managing Director / Chief Operating Officersince 01/2019 · owns 5% to 10%
Related persons
Schedule D 7.A
- M•••••••• A••••••••• I•••investment adviseryRAUM $316M
Advisers that list M•••••••• A••••••••• I••• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Chicago, Il · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- West Chester, PA16 employees
- Milwaukee, WI6 employees
- St. Louis, MO4 employees
- Lutherville, MD3 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 256 to 348Mar 26, 2025 to Mar 26, 2026
- Advisory employees · 57 to 64Mar 26, 2025 to Mar 26, 2026
- Charity clients · 96 to 143Mar 26, 2025 to Mar 26, 2026
- HNW clients · 73 to 103Mar 26, 2025 to Mar 26, 2026
- Pension plan clients · 24 to 29Mar 26, 2025 to Mar 26, 2026
- Assets in custody · $36B to $49BMar 26, 2025 to Mar 26, 2026
- Employees · 140 to 147Mar 26, 2025 to Mar 26, 2026
- State-registered IARs · 10 to 7Mar 26, 2025 to Mar 26, 2026
- Other offices · 6 to 8Mar 26, 2025 to Mar 26, 2026
- Discretionary RAUM · $26B to $30BMar 26, 2025 to Mar 26, 2026
- HNW RAUM · $3.6B to $4.9BMar 26, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $9.9B to $18BMar 26, 2025 to Mar 26, 2026
- Pension RAUM · $14B to $17BMar 26, 2025 to Mar 26, 2026
- RAUM · $36B to $47BMar 26, 2025 to Mar 26, 2026
- Accounts · 217 to 256Aug 28, 2024 to Mar 26, 2025
- Advisory employees · 52 to 57Aug 28, 2024 to Mar 26, 2025
- Charity clients · 72 to 96Aug 28, 2024 to Mar 26, 2025
- Corporate clients · 1 to 2Aug 28, 2024 to Mar 26, 2025
- HNW clients · 60 to 73Aug 28, 2024 to Mar 26, 2025
- Pension plan clients · 25 to 24Aug 28, 2024 to Mar 26, 2025
- Assets in custody · $22B to $36BAug 28, 2024 to Mar 26, 2025
- Employees · 132 to 140Aug 28, 2024 to Mar 26, 2025
- Financial planning clients · 0 to 0Aug 28, 2024 to Mar 26, 2025
- Discretionary RAUM · $15B to $26BAug 28, 2024 to Mar 26, 2025
- HNW RAUM · $3.4B to $3.6BAug 28, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $8.2B to $9.9BAug 28, 2024 to Mar 26, 2025
- Pension RAUM · $11B to $14BAug 28, 2024 to Mar 26, 2025
- RAUM · $23B to $36BAug 28, 2024 to Mar 26, 2025
- Other offices · 7 to 6Mar 27, 2024 to Aug 28, 2024
- Accounts · 149 to 217Mar 24, 2023 to Mar 27, 2024
- Advisory employees · 57 to 52Mar 24, 2023 to Mar 27, 2024
- Charity clients · 54 to 72Mar 24, 2023 to Mar 27, 2024
- Corporate clients · 2 to 1Mar 24, 2023 to Mar 27, 2024
- HNW clients · 45 to 60Mar 24, 2023 to Mar 27, 2024
- Pension plan clients · 8 to 25Mar 24, 2023 to Mar 27, 2024
- Assets in custody · $10B to $22BMar 24, 2023 to Mar 27, 2024
- Employees · 137 to 132Mar 24, 2023 to Mar 27, 2024
- Financial planning clients · unset to 0Mar 24, 2023 to Mar 27, 2024
- State-registered IARs · 12 to 10Mar 24, 2023 to Mar 27, 2024
- Other offices · 6 to 7Mar 24, 2023 to Mar 27, 2024
Signals
11 dated events
- M•••••••• A••••••••• I••• reported RAUM $47.1B, up 32% from $35.6B (2025-03-26 to 2026-03-26)Mar 26, 2026 · RAUM change · derived
- M•••••••• A••••••••• I••• reported RAUM $35.6B, up 55% from $23.0B (2024-08-28 to 2025-03-26)Mar 26, 2025 · RAUM change · derived
- M•••••••• A••••••••• I••• reported RAUM $23.0B, up 72% from $13.3B (2023-03-24 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- M•••••••• A••••••••• I••• reported RAUM $13.4B, up 30% from $10.3B (2021-10-14 to 2022-03-25)Mar 25, 2022 · RAUM change · derived
- Albert Timothy Fallon (Managing Director) no longer on Schedule A of M•••••••• A••••••••• I••• (listed 2021-10-14, absent 2022-03-25)Mar 25, 2022 · Control person left · inference
- S•••••••• L••••• P•••• (Chief Compliance Officer / Managing Partner) appeared on Schedule A of M•••••••• A••••••••• I•••Aug 6, 2021 · Control person joined · fact
- M•••••••• A••••••••• I••• reported 14 state-registered advisory representatives, up from 2 (2020-11-10 to 2021-03-26)Mar 26, 2021 · Advisor headcount change · derived
- M•••••••• A••••••••• I••• reported RAUM $10.3B, up 45% from $7.1B (2020-11-10 to 2021-03-26)Mar 26, 2021 · RAUM change · derived
- Nathaniel Kellogg (President) appeared on Schedule A of M•••••••• A••••••••• I•••Mar 26, 2021 · Control person joined · fact
- M•••••••• A••••••••• I••• reported RAUM $7.1B, up 65% from $4.3B (2019-07-23 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- M•••••••• A••••••••• I••• reported RAUM $4.1B, up 26% from $3.3B (2017-08-11 to 2018-03-28)Mar 28, 2018 · RAUM change · derived
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
- Firm profile
- linkedin.com/company/marquette-associatesreportedpublic record, Form ADV, Sep 18, 2026
- Website
- M••••••••ASSOCIATES.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-527-5500reportedpublic record, Form ADV, May 15, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $12Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026