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
M•••••••• F••••••••
Latest filing Mar 31, 2026
First filing on the tape Aug 21, 2024 · 13 filings
SEC status approved since Sep 20, 2024
RAUM
$123M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$123M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$61.3M
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$123M as of Mar 31, 2026
Jan 27, 2025$105M then
HNW client RAUM$35.4M as of Mar 31, 2026
Jan 27, 2025$14.9M then
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Jan 27, 20252 then
Employees (5.A)6 as of Mar 31, 2026
Jan 27, 20255 then
Private funds: no history
RAUM +17% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $61.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 239derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $117,246derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.4%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, otherreportedItem 5.G
- Custody
- $7.7M, 33 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
- Individuals$87.1M71%
- High-net-worth individuals$35.4M29%
- Individual clients
- 457reported
- HNW clients
- 21reported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 1,045reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $7.7M for 33 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E•••• N•••••••• T••••• | Virden, Il | Oct 7, 2024 | 11 y | 0 |
| A••••• T••••• M••••••••Certified Financial Planner | Virden, Il | Oct 18, 2024 | 16 y | 3 |
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
- A••••• T••••• M•••••••• from I•• G•••• W••••• M••••••••• L••Oct 18, 2024 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••••• A•••••• T••••• · Owner/Investment Advisor Representativecontrolsince 05/2024 · owns 75% or more
- D•••••••• M•••••• · Chief Compliance Officersince 10/2024 · owns less than 5%
Related persons
Schedule D 7.A
- A••••• M••••••••real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Virden, Il · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Charleston, IL2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 31, 2026custody of client assets (Item 9.A): no on the filing of 2025-11-26, yes on the filing of 2026-03-31peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 937 to 1,045Nov 26, 2025 to Mar 31, 2026
- Corporate clients · 6.0 to unsetNov 26, 2025 to Mar 31, 2026
- HNW clients · 9 to 21Nov 26, 2025 to Mar 31, 2026
- Individual clients · 428 to 457Nov 26, 2025 to Mar 31, 2026
- Pension plan clients · 2.0 to unsetNov 26, 2025 to Mar 31, 2026
- Assets in custody · unset to 7722882.0Nov 26, 2025 to Mar 31, 2026
- Custody of client assets · false to trueNov 26, 2025 to Mar 31, 2026
- Discretionary RAUM · $105M to $123MNov 26, 2025 to Mar 31, 2026
- HNW RAUM · $14.9M to $35.4MNov 26, 2025 to Mar 31, 2026
- Individual RAUM · $88.5M to $87.1MNov 26, 2025 to Mar 31, 2026
- Pension RAUM · 388451.0 to unsetNov 26, 2025 to Mar 31, 2026
- RAUM · $105M to $123MNov 26, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0Jun 17, 2025 to Nov 26, 2025
- Employees · 5 to 6Feb 5, 2025 to May 5, 2025
- HNW clients · 10 to 9Nov 25, 2024 to Jan 27, 2025
- Individual clients · 436 to 428Nov 25, 2024 to Jan 27, 2025
- Pension plan clients · unset to 2.0Nov 25, 2024 to Jan 27, 2025
- Discretionary RAUM · $109M to $105MNov 25, 2024 to Jan 27, 2025
- HNW RAUM · $16.0M to $14.9MNov 25, 2024 to Jan 27, 2025
- Individual RAUM · $92.3M to $88.5MNov 25, 2024 to Jan 27, 2025
- Pension RAUM · unset to 388451.0Nov 25, 2024 to Jan 27, 2025
- RAUM · $109M to $105MNov 25, 2024 to Jan 27, 2025
- Accounts · 0 to 937Nov 14, 2024 to Nov 25, 2024
- Charity clients · unset to 0.0Nov 14, 2024 to Nov 25, 2024
- Corporate clients · unset to 6.0Nov 14, 2024 to Nov 25, 2024
- HNW clients · unset to 10.0Nov 14, 2024 to Nov 25, 2024
- Individual clients · unset to 436.0Nov 14, 2024 to Nov 25, 2024
- Pooled vehicle clients · unset to 0.0Nov 14, 2024 to Nov 25, 2024
- Discretionary RAUM · $0 to $109MNov 14, 2024 to Nov 25, 2024
- HNW RAUM · unset to 16014550.0Nov 14, 2024 to Nov 25, 2024
- Individual RAUM · unset to 92331905.0Nov 14, 2024 to Nov 25, 2024
- RAUM · $0 to $109MNov 14, 2024 to Nov 25, 2024
- BD registered reps · 0 to 2Oct 9, 2024 to Nov 14, 2024
- Employees · 4 to 5Oct 9, 2024 to Nov 14, 2024
- State-registered IARs · 1 to 2Oct 9, 2024 to Nov 14, 2024
- Advisory activities · 4 to 5Aug 21, 2024 to Aug 29, 2024
Signals
1 dated events
- M•••••••• F•••••••• filed its initial SEC registration (Form ADV)Aug 21, 2024 · 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
- 800-435-4000reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 217-965-5120reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 217-965-5796reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- r•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 217-965-5796reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- r•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- r•••••••••.comreportedpublished by the firm, firm site, Sep 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
- $61.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026