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CRD 110824
EVANSTON, IL
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| GILLIS, RICHARD, ANDREW | President | E | yes | 05/1984 | Mar 16, 2012 | Aug 26, 2015 |
| DEMPSEY, GARY, DALE | CHIEF COMPLIANCE OFFICER | Na | no | 04/2015 | Aug 26, 2015 | Aug 26, 2015 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| RICHARD A. GILLIS | n/a | n/a | n/a | Y | no | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2015 | Aug 26, 2015 | $71.9M | $71.9M | 2 | 2 | n/a | n/a | n/a |
| 2014 | Aug 21, 2014 | $91.3M | $91.3M | 3 | 3 | n/a | n/a | n/a |
| 2013 | Jun 26, 2013 | $92.9M | $92.9M | 3 | 3 | n/a | n/a | n/a |
| 2012 | Aug 27, 2012 | $91.1M | $91.1M | n/a | n/a | n/a | n/a | n/a |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2015 | $71.9M | $91.3M | -21.3% | $91.1M | -7.6% | 2 | 3 | n/a | n/a |