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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

TREES INVESTMENT COUNSEL LLC

CRD 109427

CHICAGO, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:08a8d409-4b08-2f33-558a-0a5d66023ec4

Data as of Mar 5, 2015 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Nov 15, 2011 to Mar 5, 2015
5 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $215MItem 5.F on the latest filing (2015-03-05); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $213M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees: 3
Accounts: 74
Custody, client assets: $24.4M
SEC number: 801-56565
CRD: 109427
Filings on the tape: 5
First filed: Nov 15, 2011
Latest filed: Mar 5, 2015
Organised: Limited Liability Company, Illinois

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
TREES, MERLE, JAY	Chairman	D	yes	01/2008	Nov 15, 2011	Mar 5, 2015
NEWHALL, SCOTT, HAVENS	CHIEF COMPLIANCE OFFICER & CHIEF INVESTMENT OFFICER & PRESIDENT	C	no	01/2008	Nov 15, 2011	Mar 5, 2015

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
MERLE JAY TREES	n/a	n/a	n/a	Y	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Mar 5, 2015	$215M	$213M	4	3	n/a	n/a	n/a
2013	Feb 19, 2014	$219M	$215M	4	3	n/a	n/a	n/a
2012	Feb 20, 2013	$221M	$217M	4	3	n/a	n/a	n/a
2011	Mar 21, 2012	$238M	$234M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2014	$215M	$219M	-1.8%	$238M	-3.2%	4	4	n/a	n/a

Relationships

Owns (1)

← NEWHALL, SCOTT, HAVENSOwnerCHIEF COMPLIANCE OFFICER & CHIEF INVESTMENT OFFICER & PRESIDENT, ownership code C, individual
Nov 15, 2011 to presentfactForm ADV

Controls (1)

← TREES, MERLE, JAYOwnerCHAIRMAN, ownership code D, individual
Nov 15, 2011 to presentfactForm ADV

Registered with (2)

← SCOTT HAVENS NEWHALLAdvisorregistration: previous registration
Nov 14, 2006 to Oct 19, 2015factForm ADV
← JACQUELINE ELIZABETH MOSSAdvisorregistration: previous registration
Nov 15, 2002 to Mar 28, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:08a8d409-4b08-2f33-558a-0a5d66023ec4
First observed: Nov 15, 2011
Last observed: Mar 5, 2015 140 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.

TREES INVESTMENT COUNSEL LLC

CRD 109427

CHICAGO, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:08a8d409-4b08-2f33-558a-0a5d66023ec4

Data as of Mar 5, 2015 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:16 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

TREES, MERLE, JAY

Chairman

yes

01/2008

Nov 15, 2011

Mar 5, 2015

NEWHALL, SCOTT, HAVENS

CHIEF COMPLIANCE OFFICER & CHIEF INVESTMENT OFFICER & PRESIDENT

01/2008

Nov 15, 2011

Mar 5, 2015

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

MERLE JAY TREES

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2014

Mar 5, 2015

$215M

$213M

n/a

2013

Feb 19, 2014

$219M

$215M

n/a

2012

Feb 20, 2013

$221M

$217M

n/a

2011

Mar 21, 2012

$238M

$234M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2014

$215M

$219M

-1.8%

$238M

-3.2%

n/a