DFX Intelligence

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F•• F••••••••• L•••

STATE REGISTEREDFormer SEC adviserwebsite

STATE REGISTERED, reporting $84.1M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-01-26 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $84.1M
Private clients: 100%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-01-26 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 299806 · 1 filingShow

CRD 299806First filing on the tape Jan 26, 2026, latest Jan 26, 2026IAPD

RAUM

$84.1M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$84.1M individuals and HNW

Advisors

n/a

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

0 filings and snapshots on the tape

Filed figures over time

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM: no history

HNW client RAUM: no history

State-registered IARs (5.B.3): no history

Employees (5.A): no history

Private funds: no history

Practice profile

derived from the filing of Jan 26, 2026; every figure names its basis

The rule behind each archetype, and every derived figureShow

RAUM per advisor: $42.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 37derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.6MderivedHNW RAUM over HNW clients
Average account: $221,241derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 2.0derived1 office 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, pension consultingreportedItem 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

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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

87% high-net-worth individuals, 13% individuals

The breakdown by client type, and the client counts2 client typesShow

High-net-worth individuals$73.1M87%
Individuals$11.0M13%

Individual clients: 28reported
HNW clients: 45reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 380reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: on the IAPD state feed, not SEC-registeredderived

Advisor movement

Left, latest

none on the tape

Joined, latest

F•••• M•••••• I•••• from J••• M••••• S••••••••• L••
Jan 29, 2019 · Wirehouse to a state-registered adviser

Every departure Every arrival

Advisors registered through the firm

3 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
F•••• M•••••• I••••	Oak Brook, Il	Jan 29, 2019	16 y	2
K•••• L••• B•••••••••Certified Financial Planner	Oak Brook, Il	Apr 22, 2021	10 y	0
G•••••• R•••••• M•••••••••	Oak Brook, Il	Sep 19, 2026	10 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

No Schedule A on the extract for this adviser.

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
Oak Brook, Il	3	1	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

One filing, no change to show.

Signals

1 dated events

••• Locked
Sep 19, 2026 · Advisor registered · 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: ••• Lockedreportedpublic record, Form ADV, Jan 26, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Jan 26, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 15, 2026Show

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: STATE REGISTEREDderiveda rule over Items 5.D and 7.A
RAUM per advisor: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 15, 2026