M1 Advisory
Registered investment adviser · Chicago, IL · CRD #249787
Form ADV data as of 2026-09-01Regulatory assets
$633,573
Total accounts
2
Employees
14
Disclosure events
2
Firm details
- Website: http://www.m1.com
- Telephone: 312-600-2883
- SEC file number: 801-106511
- Most recent Form ADV filing: 2026-07-08
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm reports 2 disclosure questions answered Yes, covering 2 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.
- A self-regulatory organization found a violation of its rules
- Currently subject to a regulatory proceeding that could result in a disclosure under 11.C., 11.D., or 11.E.
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $0 |
| Non-discretionary regulatory assets under management | $633,573 |
| Total regulatory assets under management | $633,573 |
| Discretionary accounts | 0 |
| Non-discretionary accounts | 2 |
| Total accounts | 2 |
| Regulatory assets under management attributable to non-U.S. persons | $0 |
People
| Total employees (excluding clerical) | 14 |
| Employees performing investment advisory functions (including research) | 0 |
| Employees who are registered representatives of a broker-dealer | 14 |
| Employees registered as investment adviser representatives with a state | 14 |
| Employees registered as IARs for another investment adviser | 0 |
| Employees who are licensed insurance agents | 0 |
| Firms or persons who solicit advisory clients on the firm's behalf | 0 |
Custody
| Has custody of client cash or bank accounts | No |
| Has custody of client securities | No |
| A related person has custody of client cash or bank accounts | Yes |
| A related person has custody of client securities | Yes |
| Client funds and securities held in a related person's custody | $253,209 |
| Clients for whom a related person has custody | 2 |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | Yes |
| Number of persons acting as qualified custodians for the firm's clients | 1 |
How the firm is compensated
Advisory services offered
Affiliated related persons
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Individuals (other than high net worth individuals) | Not reported | $633,573 |