DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

H•••••• C•••••• M••••••••• L••

CRD 106376

CHICAGO, IL

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Search this name across graphsid dfx:ria:155b25ed-c542-9297-457c-f2d2cee90fe8

Data as of Mar 24, 2017 (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: 8
Dated events: 0
On other graphs: 0
Observed: Mar 28, 2012 to Mar 24, 2017
12 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: $2.5B••• Locked
Discretionary RAUM: $2.5B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 22
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••••• C•••• R•••••	CO-PORTFOLIO MANAGER, MANAGING MEMBER	B	yes	05/2009	Mar 28, 2012	Mar 24, 2017
W•••••• M•••••• L•••	PRESIDENT & CEO, MANAGING MEMBER	D	yes	02/2008	Mar 28, 2012	Mar 24, 2017

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$2.5B	$4.0B	-38.6%	$4.9B	-20.5%	22	21	n/a	n/a

Relationships

Owns (6)

← J••••• L••••• J•••OwnerRETIRED, MANAGING MEMBER, ownership code A, individual
Mar 28, 2012 to presentfactForm ADV
← F•••••••• B•••••• K•••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Apr 7, 2015 to presentfactForm ADV
← T••••• A•••••• M•••OwnerSENIOR ANALYST, MEMBER, ownership code A, individual
Mar 28, 2012 to presentfactForm ADV
← M••••• R••••• N••OwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Mar 18, 2016 to presentfact

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:155b25ed-c542-9297-457c-f2d2cee90fe8
First observed: Mar 28, 2012
Last observed: Mar 24, 2017 115 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.