SourcingSourcing

RESOURCE FINANCIAL GROUP, LTD.

C42
CRD 119833·SEC 801-66619·WILMETTE, IL
AUM
$637.4M
$500M-$1B
Est. Revenue
$6.4M
@ 1% on AUM
Est. EBITDA
$1.9M
@ 30% margin
Est. Deal Value
$15.3M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
RESOURCE FINANCIAL GROUP, LTD.
CRD
119833
SEC file #
801-66619
EIN
—
DBA names
—

Economics

AUM
$637.4M
AUM band
$500M-$1B
AUM trajectory
'20'26
$246.0M → $637.4M▲ +159%
Client mix
Individuals High Net Worth265
Pension Profit Sharing Plans6

Operations

Employees (total)
8
Advisory staff (per ADV)
2
Advisory staff (5-yr trend)
'20'26
2 advisors → 2 advisors▬ 0%
Primary office
WILMETTE IL
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Financial planningPortfolio mgmt — individuals
Fee basis
% of AUMHourly chargesFixed feesCommissions

Filings

Latest ADV filing
03/28/2026
ADV-W filed at
—
Website
rfgltd.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
MARIS, PETER, MICHAEL
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
MARIS, PETER, MICHAEL
PUGAL, BRIAN, ANTHONY
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
RFGLTD.COM
Rdap Domain Creation Date
2000-04-20T18:50:10Z
Rdap Firm Age Years
26
Rdap Firm Age Band
20+y
Rdap Registrar
Network Solutions, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (14)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
2
Bc Firm Active IA Count
2
Bc Firm IAR Count
2
Custodian Candidates
Full
E*trade4
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2027-04-20T18:50:10Z
Rdap Domain Last Changed
2026-02-19T07:48:22Z
Rdap Nameservers
Iris.ns.cloudflare.comSkip.ns.cloudflare.com
Rdap Secure Dns Enabled
No
Rdap Status
Active
Top Owner CRD
2177794
Trust Company Affiliate
No

People (2)

2
MARIS, PETER, MICHAEL
IAR · Direct Owner · 87.5%
2177794
PUGAL, BRIAN, ANTHONY
IAR · Direct Owner · 17.5%
4626115