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Former SEC-registered adviser

M•••• C••••••••• G••••• I•••

Former SEC-registered adviserChicago, IllinoisCRD 21602SEC 801-33882IAPD

Latest filing Mar 29, 2016

First filing on the tape Mar 13, 2012 · 7 filings

RAUM

$6.6B

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

24 advisory (5.B.1)

Offices

n/a

beyond the principal office

Private funds

$3.2B gross assets

History

7 filings and snapshots on the tape

RAUM$6.6B as of Mar 29, 2016

Mar 13, 2012$5.4B then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 29, 2016

Mar 13, 20120 then

Employees (5.A)60 as of Mar 29, 2016

Mar 19, 201376 then

Private funds1 as of Mar 29, 2016

Mar 13, 20121 then

RAUM -27% over the last fiscal year+2.5% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 29, 2016; every figure names its basis

RAUM per advisor: unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: unknownderivedHNW RAUM over HNW clients
Average account: $13.9MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year: -27%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assets, fixed feesreportedItem 5.E
Advisory activities: pension consulting, selection of other advisers, publications, educational seminars, otherreportedItem 5.G
Ownership: controlled by a public reporting companyderived
Advisor book size: not public; not estimatedreported

Also answered yes on Form ADV

controlled by a public reporting company (10.A)

Where the RAUM sits

Form ADV Item 5.D, latest filing

This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 474reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixedreported
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

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Private funds

1 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
M•••• C••••••••• G•••• T•••• I•	Other Private Fund	$3.2B	30	Mar 13, 2012

Owners and control persons

Schedule A and B, latest filing

C•••••• S••••• A•• · Senior Vice Presidentcontrol
since 01/2011 · owns 5% to 10%
D••••••••• M••••••• D••••• · Chief Compliance Officercontrol
since 06/2010 · owns less than 5%
D•••••• E•••••• M•••• · Chief Operating Officercontrol
since 09/2011 · owns less than 5%
F••••••••• A••• K•••••• · Vp/Director Fiduciary Servicescontrol
since 01/2011 · owns less than 5%
J••••• M••••••• D••••• · Executive Vice Presidentcontrol
since 06/2007 · owns 5% to 10%
M••••• J•••• M•••••• · Chairman/Presidentcontrol
since 07/2001 · owns 25% to 50%
M•••••••• T•••••• A•••• · Vice Chairman/Secretary/Treasurercontrol
since 07/2001 · owns 10% to 25%
Z•••• J••••• T• · Chief Executive Officercontrol
since 12/2011 · owns 10% to 25%

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

Braintree, MA

What changed

consecutive filings, newest first

Accounts · 516 to 474
Mar 31, 2015 to Mar 29, 2016
Advisory employees · 25 to 24
Mar 31, 2015 to Mar 29, 2016
Employees · 61 to 60
Mar 31, 2015 to Mar 29, 2016
Discretionary RAUM · $9.0B to $6.6B
Mar 31, 2015 to Mar 29, 2016
RAUM · $9.0B to $6.6B
Mar 31, 2015 to Mar 29, 2016
Accounts · 478 to 516
Mar 26, 2014 to Mar 31, 2015
Advisory employees · 26 to 25
Mar 26, 2014 to Mar 31, 2015
Employees · 69 to 61
Mar 26, 2014 to Mar 31, 2015
Discretionary RAUM · $8.6B to $9.0B
Mar 26, 2014 to Mar 31, 2015
RAUM · $8.6B to $9.0B
Mar 26, 2014 to Mar 31, 2015
Accounts · 401 to 478
May 2, 2013 to Mar 26, 2014
Advisory employees · 31 to 26
May 2, 2013 to Mar 26, 2014
Employees · 76 to 69
May 2, 2013 to Mar 26, 2014
Discretionary RAUM · $6.1B to $8.6B
May 2, 2013 to Mar 26, 2014
RAUM · $6.1B to $8.6B
May 2, 2013 to Mar 26, 2014
Accounts · 392 to 401
Mar 13, 2012 to Mar 19, 2013
Advisory employees · unset to 31.0
Mar 13, 2012 to Mar 19, 2013
Employees · unset to 76.0
Mar 13, 2012 to Mar 19, 2013
Discretionary RAUM · $5.4B to $6.1B
Mar 13, 2012 to Mar 19, 2013
RAUM · $5.4B to $6.1B
Mar 13, 2012 to Mar 19, 2013

Signals

No event on the tape.

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