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
F•••••••• D••••• S•••••• I•••
Latest filing Jul 16, 2026
First filing on the tape Sep 22, 2025 · 3 filings
SEC status approved since Nov 18, 2025
RAUM
$106M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$105M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$35.2M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$106M as of Jul 16, 2026
Sep 22, 2025$105M then
HNW client RAUM$71.4M as of Jul 16, 2026
Sep 22, 2025$70.0M then
State-registered IARs (5.B.3)3 as of Jul 16, 2026
Sep 22, 20253 then
Employees (5.A)4 as of Jul 16, 2026
Sep 22, 20254 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 16, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $35.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 45derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $233,407derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminars, otherreportedItem 5.G
- Custody
- $41.7M, 46 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$71.4M68%
- Individuals$33.7M32%
- Charitable organizations$400,0000.4%
- Individual clients
- 102reported
- HNW clients
- 32reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 452reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $41.7M for 46 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••••••• L••• S•••••••••Certified Financial Planner | Deer Park, Il | Feb 9, 2017 | 21 y | 1 |
| R••••• D•••• S••••Certified Financial Planner, Chartered Financial Analyst | Deer Park, Il | Aug 2, 2019 | 29 y | 2 |
| T•••••• J•••• M••••Certified Financial Planner | Deer Park, Il | Aug 9, 2019 | 16 y | 1 |
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
none on the tape
Joined, latest
- T•••••• J•••• M•••• from P••••••• F•••••••• I•••Aug 9, 2019 · Other
- R••••• D•••• S•••• from H•••• L••• A•••••••Aug 2, 2019 · Other
- M••••••• L••• S••••••••• from K•••••• F•••••••• A••••••• L••Feb 9, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••• T••••••• J•••• · Chief Operations Officercontrolsince 08/2019 · owns 25% to 50%
- S••••••••• M•••••••• L••• · Chief Executive Officercontrolsince 01/2017 · owns 25% to 50%
- S••••••••• S••••••• M•••••• · Chief Financial Officercontrolsince 08/2019 · owns 25% to 50%
- S••••• R•••••• D•••• · Chief Compliance Officercontrolsince 08/2019 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Deer Park, Il · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Jul 16, 2026custody of client assets (Item 9.A): no on the filing of 2026-02-11, yes on the filing of 2026-07-16peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Assets in custody · unset to 41691335.0Feb 11, 2026 to Jul 16, 2026
- Custody of client assets · false to trueFeb 11, 2026 to Jul 16, 2026
- Accounts · 444 to 452Sep 22, 2025 to Feb 11, 2026
- Individual clients · 103 to 102Sep 22, 2025 to Feb 11, 2026
- Discretionary RAUM · $105M to $106MSep 22, 2025 to Feb 11, 2026
- HNW RAUM · $70.0M to $71.4MSep 22, 2025 to Feb 11, 2026
- Individual RAUM · $34.6M to $33.7MSep 22, 2025 to Feb 11, 2026
- RAUM · $105M to $106MSep 22, 2025 to Feb 11, 2026
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.
How to reach
public business contact points only, each with its source
- Business phone
- 847-238-8050reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- FINANCIALD•••••S•••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (847) 238-8050reportedpublic record, Form ADV, Jul 16, 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
- $35.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026