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
H••••••• C•••••• M••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Feb 11, 2020 · 21 filings
SEC status approved since May 24, 2021
RAUM
$416M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$408M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$104M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$416M as of Mar 27, 2026
Mar 25, 2022$283M then
HNW client RAUM$406M as of Mar 27, 2026
Mar 25, 2022$279M then
State-registered IARs (5.B.3)4 as of Mar 27, 2026
Mar 25, 20223 then
Employees (5.A)5 as of Mar 27, 2026
Mar 25, 20224 then
Private funds: no history
RAUM +14% over the last fiscal year+14% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RAUM per advisor
- $104MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 24derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.0MderivedHNW RAUM over HNW clients
- Average account
- $1.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +33%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $163M, 50 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$406M97%
- Charitable organizations$8.6M2.1%
- Individuals$2.1M0.5%
- Individual clients
- 16reported
- HNW clients
- 81reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 257reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $163M for 50 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 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 |
|---|---|---|---|---|
| M•••••• P•••••• M•••••Certified Financial Planner | Buffalo Grove, Il | Mar 16, 2020 | 17 y | 0 |
| N••••••• L•• S•••••Certified Financial Planner | Buffalo Grove, Il | Mar 16, 2020 | 27 y | 0 |
| M••• L•••• S•••••••••Chartered Financial Analyst | Buffalo Grove, Il | Mar 19, 2020 | 25 y | 0 |
| B•••• D••••• V•••••Chartered Financial Analyst | Buffalo Grove, Il | Jan 12, 2023 | 11 y | 0 |
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• M••••••• P•••••• · Managing Partnercontrolsince 03/2020 · owns 25% to 50%
- S••••••••• M•••• L•••• · Managing Partner, Chief Investment Officer & Chief Compliance Officercontrolsince 03/2020 · owns 25% to 50%
- S•••••• N•••••••• L•• · Managing Partnercontrolsince 03/2020 · 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 |
|---|---|---|---|---|---|
| Buffalo Grove, Il · principal | 4 | 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 Mar 27, 2026custody of client assets (Item 9.A): no on the filing of 2025-02-06, yes on the filing of 2026-03-27peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 207 to 257Feb 6, 2025 to Mar 27, 2026
- HNW clients · 64 to 81Feb 6, 2025 to Mar 27, 2026
- Individual clients · 9 to 16Feb 6, 2025 to Mar 27, 2026
- Assets in custody · unset to 163216670.0Feb 6, 2025 to Mar 27, 2026
- Custody of client assets · false to trueFeb 6, 2025 to Mar 27, 2026
- Discretionary RAUM · $364M to $416MFeb 6, 2025 to Mar 27, 2026
- HNW RAUM · $351M to $406MFeb 6, 2025 to Mar 27, 2026
- Individual RAUM · $1.5M to $2.1MFeb 6, 2025 to Mar 27, 2026
- RAUM · $364M to $416MFeb 6, 2025 to Mar 27, 2026
- Accounts · 184 to 207Jun 26, 2024 to Feb 6, 2025
- HNW clients · 61 to 64Jun 26, 2024 to Feb 6, 2025
- Individual clients · unset to 9.0Jun 26, 2024 to Feb 6, 2025
- Financial planning clients · 26-50 to 26-50Jun 26, 2024 to Feb 6, 2025
- Discretionary RAUM · $281M to $364MJun 26, 2024 to Feb 6, 2025
- HNW RAUM · $272M to $351MJun 26, 2024 to Feb 6, 2025
- Individual RAUM · $669,469 to $1.5MJun 26, 2024 to Feb 6, 2025
- RAUM · $281M to $364MJun 26, 2024 to Feb 6, 2025
- Accounts · 170 to 184Aug 18, 2023 to Mar 18, 2024
- HNW clients · 55 to 61Aug 18, 2023 to Mar 18, 2024
- Discretionary RAUM · $265M to $281MAug 18, 2023 to Mar 18, 2024
- HNW RAUM · $258M to $272MAug 18, 2023 to Mar 18, 2024
- Individual RAUM · $243,881 to $669,469Aug 18, 2023 to Mar 18, 2024
- RAUM · $265M to $281MAug 18, 2023 to Mar 18, 2024
- Accounts · 174 to 170Apr 14, 2023 to Aug 18, 2023
- HNW clients · 45 to 55Apr 14, 2023 to Aug 18, 2023
- Discretionary RAUM · $232M to $265MApr 14, 2023 to Aug 18, 2023
- HNW RAUM · $272M to $258MApr 14, 2023 to Aug 18, 2023
- Individual RAUM · unset to 243881.0Apr 14, 2023 to Aug 18, 2023
- Non-discretionary RAUM · $46.2M to $0Apr 14, 2023 to Aug 18, 2023
- RAUM · $278M to $265MApr 14, 2023 to Aug 18, 2023
- Accounts · 128 to 174Mar 25, 2022 to Mar 9, 2023
- Employees · 4 to 5Mar 25, 2022 to Mar 9, 2023
- State-registered IARs · 3 to 4Mar 25, 2022 to Mar 9, 2023
- Discretionary RAUM · $228M to $232MMar 25, 2022 to Mar 9, 2023
- HNW RAUM · $279M to $272MMar 25, 2022 to Mar 9, 2023
- Non-discretionary RAUM · $55.3M to $46.2MMar 25, 2022 to Mar 9, 2023
- RAUM · $283M to $278MMar 25, 2022 to Mar 9, 2023
- Accounts · 54 to 128May 27, 2021 to Mar 25, 2022
- HNW clients · 20 to 45May 27, 2021 to Mar 25, 2022
- Employees · 3 to 4May 27, 2021 to Mar 25, 2022
Signals
2 dated events
- H••••••• C•••••• M••••••••• L•• reported RAUM $283.1M, up 134% from $121.1M (2021-05-27 to 2022-03-25)Mar 25, 2022 · RAUM change · derived
- H••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Feb 11, 2020 · 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
- Business email
- i•••@h•••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 888-757-6610reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/highview-capital-managementreportedpublic record, Form ADV, Sep 19, 2026
- Website
- h•••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 888-757-6610reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- h•••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- h•••••.comreportedpublished by the firm, firm site, Sep 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $104Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026