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
L•••••••• C•••••• G••••• I•••
Latest filing Jan 21, 2026
First filing on the tape Apr 3, 2023 · 11 filings
SEC status approved since May 3, 2023
RAUM
$181M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
100%
$181M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$60.5M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$181M as of Jan 21, 2026
Jan 22, 2024$124M then
HNW client RAUM$97.4M as of Jan 21, 2026
Jan 22, 2024$71.9M then
State-registered IARs (5.B.3)2 as of Jan 21, 2026
Jan 22, 20242 then
Employees (5.A)3 as of Jan 21, 2026
Jan 22, 20243 then
Private funds: no history
RAUM +18% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Jan 21, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $60.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 77derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $284,857derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -13%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $116M, 222 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$97.4M54%
- Individuals$84.0M46%
- Individual clients
- 181reported
- HNW clients
- 49reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 637reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $116M for 222 clientsreported
- Compensation
- % of AUM, fixedreported
- 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 |
|---|---|---|---|---|
| B•••• J••••• M•••••• | Rolling Meadows, Il | Jun 30, 2023 | 19 y | 2 |
| C••••••••• A••••• B•••••••• | Rolling Meadows, Il | Jun 30, 2023 | 14 y | 3 |
| A•••••••• F•••• A••••••• | Rolling Meadows, Il | Oct 20, 2025 | 30 y | 4 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- R•••••• I•••• to I••••••••• I••Sep 2, 2025 · RIA to a state-registered adviser
Joined, latest
- A•••••••• F•••• A••••••• from C••••••••• F•••••••• N••••••Oct 20, 2025 · Affiliated broker-dealer or bank to independent RIA
- C••••••••• A••••• B•••••••• from J• W• C••• A•••••••• I•••Jun 30, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
- B•••• J••••• M•••••• from J• W• C••• A•••••••• I•••Jun 30, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
- R•••••• I•••• from J• W• C••• A•••••••• I•••Jun 30, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from J• W• C••• A•••••••• I•••Jul 10, 2023 · Chicago, Il
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• B••••• J••••• · President/Ccocontrolsince 10/2017 · owns 75% or more
Related persons
Schedule D 7.A
- L•••••••• T•• C••••••••• G••••• I•••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Rolling Meadows, Il · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 600 to 637Sep 10, 2025 to Jan 21, 2026
- HNW clients · 39 to 49Sep 10, 2025 to Jan 21, 2026
- Individual clients · 225 to 181Sep 10, 2025 to Jan 21, 2026
- Assets in custody · $100M to $116MSep 10, 2025 to Jan 21, 2026
- Discretionary RAUM · $144M to $172MSep 10, 2025 to Jan 21, 2026
- HNW RAUM · $78.3M to $97.4MSep 10, 2025 to Jan 21, 2026
- Individual RAUM · $74.9M to $84.0MSep 10, 2025 to Jan 21, 2026
- Non-discretionary RAUM · $9.4M to $9.3MSep 10, 2025 to Jan 21, 2026
- RAUM · $153M to $181MSep 10, 2025 to Jan 21, 2026
- Financial planning clients · 1-10 to 1-10Mar 13, 2025 to May 22, 2025
- Accounts · 635 to 600Jan 22, 2024 to Feb 13, 2025
- HNW clients · 49 to 39Jan 22, 2024 to Feb 13, 2025
- Individual clients · 192 to 225Jan 22, 2024 to Feb 13, 2025
- Assets in custody · unset to 100326454.0Jan 22, 2024 to Feb 13, 2025
- Custody of client assets · false to trueJan 22, 2024 to Feb 13, 2025
- Financial planning clients · 0 to 1-10Jan 22, 2024 to Feb 13, 2025
- Discretionary RAUM · $114M to $144MJan 22, 2024 to Feb 13, 2025
- HNW RAUM · $71.9M to $78.3MJan 22, 2024 to Feb 13, 2025
- Individual RAUM · $52.1M to $74.9MJan 22, 2024 to Feb 13, 2025
- Non-discretionary RAUM · $10.1M to $9.4MJan 22, 2024 to Feb 13, 2025
- RAUM · $124M to $153MJan 22, 2024 to Feb 13, 2025
- Accounts · 568 to 635Nov 29, 2023 to Jan 22, 2024
- Advisory employees · 3 to 2Nov 29, 2023 to Jan 22, 2024
- HNW clients · 88 to 49Nov 29, 2023 to Jan 22, 2024
- Individual clients · 176 to 192Nov 29, 2023 to Jan 22, 2024
- Employees · 4 to 3Nov 29, 2023 to Jan 22, 2024
- State-registered IARs · 3 to 2Nov 29, 2023 to Jan 22, 2024
- Discretionary RAUM · $106M to $114MNov 29, 2023 to Jan 22, 2024
- HNW RAUM · $68.2M to $71.9MNov 29, 2023 to Jan 22, 2024
- Individual RAUM · $46.5M to $52.1MNov 29, 2023 to Jan 22, 2024
- Non-discretionary RAUM · $9.0M to $10.1MNov 29, 2023 to Jan 22, 2024
- RAUM · $115M to $124MNov 29, 2023 to Jan 22, 2024
- Accounts · 0 to 568May 30, 2023 to Jul 12, 2023
- HNW clients · 0 to 88May 30, 2023 to Jul 12, 2023
- Individual clients · 0 to 176May 30, 2023 to Jul 12, 2023
- Discretionary RAUM · $0 to $106MMay 30, 2023 to Jul 12, 2023
- HNW RAUM · $0 to $68.2MMay 30, 2023 to Jul 12, 2023
- Individual RAUM · $0 to $46.5MMay 30, 2023 to Jul 12, 2023
- Non-discretionary RAUM · $0 to $9.0MMay 30, 2023 to Jul 12, 2023
- RAUM · $0 to $115MMay 30, 2023 to Jul 12, 2023
Signals
3 dated events
- R•••••• I•••• left L•••••••• C•••••• G••••• I••• for I••••••••• I•• (registered 2026-05-29)Sep 2, 2025 · Advisor changed firm · fact
- 2 advisors left J• W• C••• A•••••••• I••• (Chicago, IL) for L•••••••• C•••••• G••••• I••• on the same dayJul 10, 2023 · Team lift-out · derived
- L•••••••• C•••••• G••••• I••• filed its initial SEC registration (Form ADV)Apr 3, 2023 · 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 phone
- 847-701-0132reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 847-701-0400reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/27200856reportedpublic record, Form ADV, Sep 18, 2026
- Website
- thelakeshorecapitalgroup.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 847-701-0400reportedpublic record, Form ADV, Jan 21, 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
- $60.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026