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.

SEC-registered adviser

M1 Advisory

Independent wealth managerChicago, IllinoisCRD 249787SEC 801-106511websiteIAPD
Legal name M1 Advisory Services LLC
Latest filing Jul 8, 2026
First filing on the tape Jul 31, 2015 · 27 filings
SEC status approved since Aug 11, 2015
RAUM
$633,573
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$633,573 individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$70,397
derived; firm RAUM over IAPD count
Employees
14
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$633,573 as of Jul 8, 2026
Mar 29, 2016$0 then
HNW client RAUM$0 as of Nov 10, 2025
Feb 1, 2018$0 then
State-registered IARs (5.B.3)14 as of Jul 8, 2026
Mar 29, 20161 then
Employees (5.A)14 as of Jul 8, 2026
Mar 29, 20163 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 17 to 14
Practice profile
derived from the filing of Jul 8, 2026; every figure names its basis
RAUM per advisor
$70,397derivedRAUM 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
$316,787derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.6derivedItem 5.A over advisors
Advisors per office
9.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
-18%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$633,573100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=14.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Megan J KuyersChicago, Il Mar 7, 202410 y1
Lucas Skyler RadiceChicago, Il Apr 18, 202414 y0
Priyal Rakesh ThakkarChicago, Il Apr 18, 202410 y0
Jieun LeeChicago, Il Apr 23, 202410 y1
Charlotte HalmoChicago, Il May 31, 202410 y2
Jing G KesslerChicago, Il Jun 2, 202410 y2
Gabriela ContrerasChicago, Il Jun 2, 202411 y2
Jacob William WalkerChicago, Il Jul 23, 202412 y1
Kwami AustinAurora, Co Mar 18, 202620 y1
Advisor movement
3 left, 1 joined in 12 months
net -2 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 33% of current headcount8 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Randall Brian Barnes · President/Ceocontrol
    since 12/2022 · owns 10% to 25%
  • Marie Tealee Hinger · Chief Compliance Officercontrol
    since 06/2023 · owns less than 5%
  • Charles Caleb Matheny · Secretary/Cfocontrol
    since 12/2022 · owns less than 5%
Entity owners
  • M1 Holdings Inc. · Owner
    direct · owns 75% or more
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Chicago, Il · principal911
Evanston, Il000
South Boston, Ma001
Joliet, Il001
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 0 to 2
    Nov 10, 2025 to Mar 31, 2026
  • BD registered reps · 17 to 14
    Nov 10, 2025 to Mar 31, 2026
  • Business name · M1 FINANCE to M1 ADVISORY
    Nov 10, 2025 to Mar 31, 2026
  • Employees · 17 to 14
    Nov 10, 2025 to Mar 31, 2026
  • State-registered IARs · 17 to 14
    Nov 10, 2025 to Mar 31, 2026
  • HNW RAUM · 0.0 to unset
    Nov 10, 2025 to Mar 31, 2026
  • Individual RAUM · $0 to $633,573
    Nov 10, 2025 to Mar 31, 2026
  • Non-discretionary RAUM · $0 to $633,573
    Nov 10, 2025 to Mar 31, 2026
  • Pension RAUM · 0.0 to unset
    Nov 10, 2025 to Mar 31, 2026
  • Pooled vehicle RAUM · 0.0 to unset
    Nov 10, 2025 to Mar 31, 2026
  • RAUM · $0 to $633,573
    Nov 10, 2025 to Mar 31, 2026
  • BD registered reps · 24 to 17
    Jan 3, 2025 to Mar 11, 2025
  • Employees · 24 to 17
    Jan 3, 2025 to Mar 11, 2025
  • Financial planning clients · unset to
    Jan 3, 2025 to Mar 11, 2025
  • State-registered IARs · 24 to 17
    Jan 3, 2025 to Mar 11, 2025
  • Accounts · unset to 0.0
    May 21, 2024 to Jan 3, 2025
  • Discretionary RAUM · unset to 0.0
    May 21, 2024 to Jan 3, 2025
  • Non-discretionary RAUM · unset to 0.0
    May 21, 2024 to Jan 3, 2025
  • RAUM · unset to 0.0
    May 21, 2024 to Jan 3, 2025
  • Accounts · 0.0 to unset
    Jul 13, 2023 to Mar 7, 2024
  • Advisory employees · 1 to 0
    Jul 13, 2023 to Mar 7, 2024
  • BD registered reps · 20 to 24
    Jul 13, 2023 to Mar 7, 2024
  • Employees · 20 to 24
    Jul 13, 2023 to Mar 7, 2024
  • State-registered IARs · 20 to 24
    Jul 13, 2023 to Mar 7, 2024
  • Discretionary RAUM · 0.0 to unset
    Jul 13, 2023 to Mar 7, 2024
  • Non-discretionary RAUM · 0.0 to unset
    Jul 13, 2023 to Mar 7, 2024
  • RAUM · 0.0 to unset
    Jul 13, 2023 to Mar 7, 2024
  • BD registered reps · 13 to 20
    Nov 16, 2021 to Feb 24, 2022
  • Employees · 13 to 20
    Nov 16, 2021 to Feb 24, 2022
  • State-registered IARs · 4 to 20
    Nov 16, 2021 to Feb 24, 2022
  • BD registered reps · 4 to 13
    Sep 17, 2020 to Mar 5, 2021
  • Employees · 4 to 13
    Sep 17, 2020 to Mar 5, 2021
  • State-registered IARs · 3 to 4
    Sep 17, 2020 to Mar 5, 2021
  • BD registered reps · 3 to 4
    Jan 18, 2019 to Mar 30, 2020
  • Employees · 3 to 4
    Jan 18, 2019 to Mar 30, 2020
  • State-registered IARs · 1 to 3
    Jan 18, 2019 to Mar 30, 2020
  • Other offices · unset to 0.0
    Mar 23, 2017 to Feb 1, 2018
  • HNW RAUM · unset to 0.0
    Mar 23, 2017 to Feb 1, 2018
  • Individual RAUM · unset to 0.0
    Mar 23, 2017 to Feb 1, 2018
  • Pension RAUM · unset to 0.0
    Mar 23, 2017 to Feb 1, 2018
Signals
26 dated events
  • Jack Reilly Oricoli left M1 Advisory for Voya Financial Advisors, Inc. (registered 2026-08-11)
    Aug 3, 2026 · Advisor changed firm · fact
  • Michael J Mason left M1 Advisory for Rbc Capital Markets, Llc (registered 2025-12-05)
    Nov 14, 2025 · Advisor changed firm · fact
  • Patrick Michael Flood left M1 Advisory for Stifel, Nicolaus & Company, Incorporated (registered 2025-12-02)
    Oct 8, 2025 · Advisor changed firm · fact
  • Jack Henry Privateer left M1 Advisory for Citigroup Global Markets Inc. (registered 2025-04-23)
    Apr 23, 2025 · Advisor changed firm · fact
  • Amanda Elizabeth Caruth left M1 Advisory for Hightower Advisors, Llc (registered 2025-07-23)
    Apr 23, 2025 · Advisor changed firm · fact
  • Danielle Janet Blaser left M1 Advisory for Ubs Financial Services Inc. (registered 2024-06-11)
    Jun 28, 2024 · Advisor changed firm · fact
  • John Yun Ho left M1 Advisory for J.P. Morgan Securities Llc (registered 2024-06-25)
    May 13, 2024 · Advisor changed firm · fact
  • Brandon Louis Nguyen left M1 Advisory for Fidelity Personal And Workplace Advisors (registered 2024-06-06)
    Apr 30, 2024 · Advisor changed firm · fact
  • Nathan Lennox Harlow left M1 Advisory for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2023-08-08)
    Jul 24, 2023 · Advisor changed firm · fact
  • Randall Brian Barnes (President/Ceo) appeared on Schedule A of M1 Advisory
    Jun 21, 2023 · Control person joined · fact
  • Ryan Burke (Cco) no longer on Schedule A of M1 Advisory (listed 2023-03-27, absent 2023-06-21)
    Jun 21, 2023 · Control person left · inference
  • Marie Tealee Hinger (Chief Compliance Officer) appeared on Schedule A of M1 Advisory
    Jun 21, 2023 · Control person joined · fact
  • Charles Caleb Matheny (Secretary/Cfo) appeared on Schedule A of M1 Advisory
    Jun 21, 2023 · Control person joined · fact
  • Joshua Paul Patchik left M1 Advisory for Frec (registered 2024-10-25)
    Apr 10, 2023 · Advisor changed firm · fact
  • Sanchit Sharma left M1 Advisory for Masterworks Advisers, Llc (registered 2023-11-14)
    Mar 10, 2023 · Advisor changed firm · fact
  • John Gerard Ruane left M1 Advisory for Manifest (registered 2026-04-08)
    Nov 28, 2022 · Advisor changed firm · fact
  • John Michael O'Connor left M1 Advisory for Janney Montgomery Scott Llc (registered 2022-11-14)
    Sep 7, 2022 · Advisor changed firm · fact
  • Devin Grayson left M1 Advisory for Lincoln Investment (registered 2023-01-04)
    May 19, 2022 · Advisor changed firm · fact
  • Nicholas Nmn Dalmaso left M1 Advisory for Sound Capital Solutions Llc (registered 2024-01-11)
    Mar 1, 2022 · Advisor changed firm · fact
  • M1 Advisory reported 20 state-registered advisory representatives, up from 4 (2021-11-16 to 2022-02-24)
    Feb 24, 2022 · Advisor headcount change · derived
  • Ryan Burke (Cco) appeared on Schedule A of M1 Advisory
    Oct 8, 2021 · Control person joined · fact
  • Elizabeth Ashley Rodabaugh (Cco) no longer on Schedule A of M1 Advisory (listed 2021-03-05, absent 2021-10-08)
    Oct 8, 2021 · Control person left · inference
  • Elizabeth Ashley Rodabaugh (Cco) appeared on Schedule A of M1 Advisory
    Mar 5, 2021 · Control person joined · fact
  • Emiliano Rios Caban (Cco) no longer on Schedule A of M1 Advisory (listed 2020-03-30, absent 2020-09-17)
    Sep 17, 2020 · Control person left · inference
  • Emiliano Rios Caban (Cco) appeared on Schedule A of M1 Advisory
    Mar 30, 2020 · Control person joined · fact
  • M1 Finance filed its initial SEC registration (Form ADV)
    Jul 31, 2015 · 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.
How to reach
public business contact points only, each with its source
Website
m1.comreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone
312-600-2883reportedpublic record, Form ADV, Jul 8, 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
$70,397derivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026