DFX Intelligence

P••• C•••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered advisermixed wealth managerSEC registeredRAUM 1b 10b

P••• C•••••• L••

CRD 206517

CHICAGO, IL

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Search this name across graphsid dfx:ria:0361b417-d5f9-a817-0a5c-08543677765e

Data as of Feb 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 22
Dated events: 9
On other graphs: 0
Observed: Apr 23, 2015 to Feb 19, 2026
26 observations

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: mixed wealth managerderivedprivate_client_share=0.34 fund_share=0.47 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $2.9B••• Locked
Discretionary RAUM: $2.7B
Private client RAUM: $984Mderived••• Locked
Private client share: 34%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $2.9Bderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
E••••• S••••• L•••	n/a	CHICAGO, IL	9	34	1	no

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
P••• C•••••• P••••••• M•••• C•• F•••• L•	Hedge Fund	$391M	Feb 19, 2026	85	Oct 14, 2015	reported	021-249966
P••• C•••••• S•••• C•• F•••• L•	Hedge Fund	$390M	Feb 19, 2026

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
O•••••• B••••• M••••••	CHAIRMAN & CEO	D	yes	03/2015	Feb 19, 2026	Feb 19, 2026
C••••••••• B••••• E•	VICE PRESIDENT - OPERATIONS	Na	no	04/2024	Feb 19, 2026	Feb 19, 2026

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$2.9B	$2.6B	7.8%	$1.8B	17.3%	13	12	0	0

Relationships

Advises (7)

→ P••• C•••••• S•••• C•• F•••• L•Private fundHedge Fund, IA
Oct 14, 2015 to presentfactForm ADV
→ P••• C•••••• P••••••• M•••• C•• F••• I•• L•Private fundHedge Fund, IA
Sep 5, 2017 to presentfactForm ADV
→ P••• C•••••• S•••• C•• F••• I•• L•Private fundHedge Fund, IA
Mar 8, 2019 to presentfactForm ADV
→ P••• C•••••• P••••••• M•••• C•• F•••• L•

Dated events

Occurred
Feb 19, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Feb 19, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Feb 19, 2026
Ria private fund assets change
••• Locked
Form ADVobserved today
$351M
Occurred
Feb 19, 2026
Private fund gav change

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0361b417-d5f9-a817-0a5c-08543677765e
First observed: Apr 23, 2015
Last observed: Feb 19, 2026 7 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.