DFX Intelligence

O••••••• I•••••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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

O••••••• I•••••••••

O••••••• I••••••••• LLC, CRD 108003

LISLE, IL

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Search this name across graphsid dfx:ria:11b21529-159f-5257-8171-21cdcab774b4

Data as of Apr 8, 2020 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Mar 29, 2012 to Apr 8, 2020
11 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: $520M••• Locked
Discretionary RAUM: $520M
Private client RAUM: $7.0Mderived••• Locked
Private client share: 1%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 12
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
J••••••••• P••••• M••••	CO-CHIEF INVESTMENT OFFICER/MANAGING MEMBER	C	yes	10/2007	Mar 29, 2012	Apr 8, 2020
S••••••• J••••• L••	CHIEF COMPLIANCE OFFICER/CO-CHIEF INVESTMENT OFFICER/MANAGING MEMBER	D	yes	04/2020	Mar 29, 2012	Apr 8, 2020

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$520M	$1.5B	-65.6%	$1.6B	-30.7%	12	12	0	0

Relationships

Controls (2)

← S••••••• J••••• L••OwnerCHIEF COMPLIANCE OFFICER/CO-CHIEF INVESTMENT OFFICER/MANAGING MEMBER, ownership code D, individual
Mar 29, 2012 to presentfactForm ADV
← J••••••••• P••••• M••••OwnerCO-CHIEF INVESTMENT OFFICER/MANAGING MEMBER, ownership code C, individual
Mar 29, 2012 to presentfactForm ADV

Owns (1)

← C••••••••• S•••••••••OwnerHEAD TRADER/PORTFOLIO MANAGER/MEMBER, ownership code B, individual
Mar 29, 2012 to presentfactForm ADV

Dated events

Occurred
Mar 12, 2020
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$-991M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:11b21529-159f-5257-8171-21cdcab774b4
First observed: Mar 29, 2012
Last observed: Apr 8, 2020 78 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.