DFX Intelligence
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
CRD 5611
HIGHLAND PARK, IL
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| O••• J•••• G••••• | n/a | HIGHLAND PARK, IL | Highland Park, IL | 11 | 21 | 2 | yes |
| R•••••• H•••••••• | n/a | El Paso, TX | Highland Park, IL | 11 | 22 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| L••••••• C••••• J••••• | Shareholder | D | yes | 09/2019 | Jan 28, 2013 | Sep 30, 2024 |
| L••••••• C••••• J••••• | PRINCIPAL, PRESIDENT, CEO | Na | yes | 04/2020 | Jan 28, 2013 | Sep 30, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| P•••••• I••••••••• M••••••••• I••• | n/a | Independent wealth | $186M | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| CORAL GABLES | FL | United States | 3 | yes |
| EL PASO | TX | United States | 2 | no |
| CORAL GABLES | FL | United States | 1 | yes |
| Lancaster | Pa | United States | 1 | no |
| n/a | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 1 | -1 | 5.3% | 0 | 1 | 0 | 0 | 4 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2024 | $94.2M | $127M | -25.7% | $179M | -19.3% | 25 | 23 | 5 | 5 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| P•••••• I••••••••• M••••••••• I••• | 2 | Oct 14, 2024 | May 25, 2022 | FORT MILL, SC | Channel change | RIA to RIA | 8.3% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| I••••••• A••••••• S•••••••• L•• | 2 | May 8, 2018 | May 7, 2018 | MIAMI, FL | Team lift out | Other | 9.1% |
| yes |
| E•••• M•••• B•••••• | n/a | Highland Park, IL | Miami, FL | 9 | 18 | 2 | yes |
| M•••••• D•••• C••••• | n/a | Spirit Lake, IA | 9 | 42 | n/a | yes |
| D•••• D• L• L••• | n/a | Highland Park, IL | Miami, FL | 9 | 28 | 6 | yes |
| F•••• G••••• | n/a | El Paso, TX | Miami, FL | 6 | 28 | 4 | yes |
| J•••• J• K•• | n/a | Highland Park, IL | 6 | 14 | n/a | yes |
| D••••••• A••••• | n/a | HIGHLAND PARK, IL | El Paso, TX | 6 | 10 | n/a | no |
| L••• E• A•••••••• | n/a | Highland Park, IL | Doral, FL | 5 | 22 | n/a | yes |
| D••••• H•••••• | n/a | HIGHLAND PARK, IL | Miami, FL | 5 | 12 | 1 | no |
| N•••• M•••••••• D• B••••• | n/a | Indian Land, SC | Fort Mill, SC | 5 | 32 | 2 | yes |
| Shareholder |
| C |
| no |
| 10/2022 |
| Nov 30, 2022 |
| Sep 30, 2024 |
| G•••••• O••• J•••• | Coo | Na | no | 04/2020 | Dec 22, 2014 | Sep 30, 2024 |
| I••••••••• I••• | HOLDING COMPANY/STOCKHOLDER | E | no | 07/2013 | Jan 28, 2013 | Sep 30, 2024 |
| K••• J•••• J• | Cco | Na | no | 04/2020 | Mar 17, 2014 | Sep 30, 2024 |
| M•••••• M•••••• J••••• M•• | CFO, FINOP | Na | no | 04/2020 | Jan 28, 2013 | Sep 30, 2024 |
| 1 |
| no |
| Sep 30, 2024 |
| $148M |
| $148M |
| 23 |
| 10 |
| 5 |
| n/a |
| n/a |
| 2023 | Sep 29, 2023 | $127M | $127M | 23 | 10 | 5 | n/a | n/a |
| 2022 | Sep 30, 2022 | $163M | $163M | 24 | 11 | 5 | n/a | n/a |
| 2021 | Sep 30, 2021 | $179M | $179M | 24 | 11 | 5 | n/a | n/a |
| 2020 | Sep 30, 2020 | $170M | $170M | 23 | 13 | 5 | n/a | n/a |
| 2019 | Sep 26, 2019 | $213M | $213M | 21 | 10 | 5 | n/a | n/a |
| 2018 | Sep 28, 2018 | $110M | $110M | 10 | 8 | 5 | n/a | n/a |
| 2017 | Sep 29, 2017 | $110M | $108M | 5 | 4 | n/a | n/a | n/a |
| 2016 | Sep 30, 2016 | $151M | $101M | 5 | 4 | n/a | n/a | n/a |
| 2015 | Sep 30, 2015 | $192M | $116M | 6 | 5 | n/a | n/a | n/a |
| 2014 | Sep 30, 2014 | $102M | $25.5M | 6 | 5 | n/a | n/a | n/a |
| 2013 | Sep 30, 2013 | $103M | $41.0M | 6 | 5 | n/a | n/a | n/a |
| 2012 | Sep 20, 2012 | $128M | $122M | n/a | n/a | n/a | n/a | n/a |