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

GOFEN AND GLOSSBERG, L.L.C.

CRD 107859

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:17e90b4a-28b8-1dc8-89ce-dfc67251bb85

Data as of Mar 1, 2023 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 26
Dated events: 25
On other graphs: 0
Observed: Mar 21, 2012 to Mar 1, 2023
25 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: $6.5BItem 5.F on the latest filing (2023-03-01); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $6.2B
Private client RAUM: $5.5BderivedItem 5.D individuals plus high net worth individuals
Private client share: 85%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 37
Advisory employees: 15
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 3,573
Individual clients: 2,121
High net worth clients: 1,252
Custody, client assets: $2.1B
SEC number: 801-54610
CRD: 107859
Filings on the tape: 25
First filed: Mar 21, 2012
Latest filed: Mar 1, 2023
Organised: Limited Liability Company, Delaware

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
BROWN, MARK	L.L.C. MEMBER / GENERAL COUNSEL	Na	yes	09/2005	Mar 21, 2012	Mar 1, 2023
CI FINANCIAL CORP	Owner	E	yes	12/2021	Jan 4, 2022	Mar 1, 2023
CI PRIVATE WEALTH, LLC	Owner	E	yes	12/2021	Mar 1, 2023	Mar 1, 2023
CI US HOLDINGS INC.	Owner	E	yes	12/2021	Jan 4, 2022	Mar 1, 2023
CI US, LLC	Owner	E	yes	12/2021	Jan 4, 2022	Mar 1, 2023
CIPW HOLDINGS, LLC	Owner	E	yes	12/2021	Mar 1, 2023	Mar 1, 2023
GOFEN, CHARLES, SAMUEL	EXECUTIVE COMMITTEE MEMBER/L.L.C. MEMBER / PORTFOLIO MANAGER	Na	yes	05/1997	Mar 21, 2012	Mar 1, 2023
KUPFERBERG, PETER, BEHR	EXECUTIVE COMMITTEE/L.L.C. MEMBER / PORTFOLIO MANAGER	Na	yes	05/1997	Mar 21, 2012	Mar 1, 2023
NAKAMURA, LARRY, TRISTON	CHIEF COMPLIANCE OFFICER	Na	yes	02/2023	Mar 1, 2023	Mar 1, 2023
STELMACKI, MICHAEL, JOSEPH	EXECUTIVE COMMITTEE MEMBER/L.L.C. MEMBER / RESEARCH DIRECTOR	Na	yes	06/2000	Mar 21, 2012	Mar 1, 2023
Wang, Hongwu	L.L.C. MEMBER/CHIEF INFORMATION OFFICER	Na	yes	07/2016	Mar 27, 2017	Mar 1, 2023

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
CI PRIVATE WEALTH, LLC	n/a	Independent wealth	$165B	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
2021	Feb 10, 2022	$6.5B	$6.2B	37	15	0	n/a	n/a
2020	Feb 3, 2021	$5.6B	$5.3B	35	13	0	n/a	n/a
2019	Mar 2, 2020	$5.0B	$4.7B	35	13	0	n/a	n/a
2018	Jan 29, 2019	$4.2B	$3.9B	27	14	0	n/a	n/a
2017	Mar 28, 2018	$4.4B	$4.1B	27	15	0	n/a	n/a
2016	Mar 27, 2017	$4.0B	$3.7B	27	15	n/a	n/a	n/a
2015	Mar 28, 2016	$3.8B	$3.5B	27	15	n/a	n/a	n/a
2014	Mar 25, 2015	$3.7B	$3.5B	27	13	n/a	n/a	n/a
2013	Mar 20, 2014	$3.5B	$3.3B	27	13	n/a	n/a	n/a
2012	Mar 25, 2013	$3.0B	$2.8B	27	13	n/a	n/a	n/a
2011	Mar 21, 2012	$2.8B	$2.6B	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
2021	$6.5B	$5.6B	16.6%	$4.2B	15.7%	37	35	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
Corient	11	Mar 31, 2023	Jan 3, 2023	CHICAGO, IL	Firm absorbed	RIA to ibd	100.0%

Relationships

Affiliated with (1)

→ CORIENTRegistered adviserother investment adviser, control, common control
factForm ADV

Controls (10)

← NAKAMURA, LARRY, TRISTONOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 1, 2023 to presentfactForm ADV
← GOFEN, CHARLES, SAMUELOwnerEXECUTIVE COMMITTEE MEMBER/L.L.C. MEMBER / PORTFOLIO MANAGER, ownership code NA, individual
Mar 21, 2012 to presentfactForm ADV
← KUPFERBERG, PETER, BEHROwnerEXECUTIVE COMMITTEE/L.L.C. MEMBER / PORTFOLIO MANAGER, ownership code NA, individual
Mar 21, 2012 to presentfactForm ADV
← BROWN, MARKOwnerL.L.C. MEMBER / GENERAL COUNSEL, ownership code NA, individual
Mar 21, 2012 to presentfactForm ADV
← STELMACKI, MICHAEL, JOSEPHOwnerEXECUTIVE COMMITTEE MEMBER/L.L.C. MEMBER / RESEARCH DIRECTOR, ownership code NA, individual
Mar 21, 2012 to presentfactForm ADV
← Wang, HongwuOwnerL.L.C. MEMBER/CHIEF INFORMATION OFFICER, ownership code NA, individual
Mar 27, 2017 to presentfactForm ADV
← CI FINANCIAL CORPOwnerOWNER, ownership code E, foreign entity
Jan 4, 2022 to presentfactForm ADV
← CI PRIVATE WEALTH, LLCOwnerOWNER, ownership code E, domestic entity
Mar 1, 2023 to presentfactForm ADV
← CI US HOLDINGS INC.OwnerOWNER, ownership code E, domestic entity
Jan 4, 2022 to presentfactForm ADV
← CIPW HOLDINGS, LLCOwnerOWNER, ownership code E, domestic entity
Mar 1, 2023 to presentfactForm ADV

Registered with (13)

← MARY PATRICIA MCKINLEYAdvisorregistration: previous registration
Dec 10, 2015 to Mar 31, 2023factForm ADV
← DANIEL JOHN SOBOLAdvisorregistration: previous registration
May 19, 1999 to Mar 31, 2023factForm ADV
← JOSEPH BERKSON GLOSSBERGAdvisorregistration: previous registration
May 19, 1999 to Mar 31, 2023factForm ADV
← CHARLES SAMUEL GOFENAdvisorregistration: previous registration
May 19, 1999 to Mar 31, 2023factForm ADV
← PETER BEHR KUPFERBERGAdvisorregistration: previous registration
May 5, 1997 to Mar 31, 2023factForm ADV
← JAMES GORDON BOROVSKYAdvisorregistration: previous registration
May 19, 1999 to Mar 31, 2023factForm ADV
← MOLLY BERGIN CARLAdvisorregistration: previous registration
Jun 3, 2021 to Mar 31, 2023factForm ADV
← JOHN JOSEPH PTAKAdvisorregistration: previous registration
Dec 12, 2019 to Mar 31, 2023factForm ADV
← MICHAEL A BENOITAdvisorregistration: previous registration
Oct 26, 2021 to Mar 31, 2023factForm ADV
← Scott Jarrett FrazinAdvisorregistration: previous registration
Jul 26, 2016 to Mar 31, 2023factForm ADV
← Julie RomanAdvisorregistration: previous registration
Dec 15, 2021 to Mar 31, 2023factForm ADV
← MICHAEL A. GAWLIKAdvisorregistration: previous registration
May 19, 2000 to Nov 10, 2017factForm ADV
← STEVEN PERRY BIRENBERGAdvisorregistration: previous registration
May 5, 1997 to May 28, 2004factForm ADV

Moved with (1)

→ CORIENTRegistered adviser11 advisors, firm absorbed, same day
Mar 31, 2023 to Jan 3, 2023factForm ADV

Dated events

Occurred
Mar 31, 2023
Firm absorbed
Gofen And Glossberg, L.L.C.'s advisors moved to Corient (Chicago, IL): 11 of 11 registered, on the same day
Form ADVobserved 4 days ago
11 advisors
Occurred
Mar 31, 2023
Advisor changed firm
Molly Bergin Carl left Gofen And Glossberg, L.L.C. for Corient (registered 2022-12-22)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2023
Advisor changed firm
Joseph Berkson Glossberg left Gofen And Glossberg, L.L.C. for Corient (registered 2023-01-03)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2023
Advisor changed firm
Daniel John Sobol left Gofen And Glossberg, L.L.C. for Corient (registered 2022-12-22)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2023
Advisor changed firm
Peter Behr Kupferberg left Gofen And Glossberg, L.L.C. for Corient (registered 2023-01-03)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2023
Advisor changed firm
Charles Samuel Gofen left Gofen And Glossberg, L.L.C. for Corient (registered 2022-12-22)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2023
Advisor changed firm
James Gordon Borovsky left Gofen And Glossberg, L.L.C. for Corient (registered 2022-12-22)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2023
Advisor changed firm
Mary Patricia Mckinley left Gofen And Glossberg, L.L.C. for Corient (registered 2022-12-22)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2023
Advisor changed firm
Scott Jarrett Frazin left Gofen And Glossberg, L.L.C. for Corient (registered 2022-12-22)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2023
Advisor changed firm
Julie Roman left Gofen And Glossberg, L.L.C. for Corient (registered 2022-12-22)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2023
Advisor changed firm
John Joseph Ptak left Gofen And Glossberg, L.L.C. for Corient (registered 2022-12-22)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2023
Advisor changed firm
Michael A Benoit left Gofen And Glossberg, L.L.C. for Corient (registered 2022-12-22)
Form ADVobserved 4 days ago
Occurred
Mar 1, 2023
Control person joined
Triston Larry Nakamura (Chief Compliance Officer) appeared on Schedule A of Gofen And Glossberg, L.L.C.
Form ADVobserved 4 days ago
Occurred
Jan 4, 2022
Control person left
Berkson Joseph Glossberg (L.L.C. Member / Portfolio Manager) no longer on Schedule A of Gofen And Glossberg, L.L.C. (listed 2021-09-24, absent 2022-01-04)
Form ADVobserved 4 days ago
Occurred
Jan 4, 2022
Control person left
R. Mark Goodman (L.L.C. Member / Portfolio Manager) no longer on Schedule A of Gofen And Glossberg, L.L.C. (listed 2021-09-24, absent 2022-01-04)
Form ADVobserved 4 days ago
Occurred
Jan 4, 2022
Control person left
Gordon James Borovsky (Executive Committee Member / L.L.C. Member / Portfolio Manager) no longer on Schedule A of Gofen And Glossberg, L.L.C. (listed 2021-09-24, absent 2022-01-04)
Form ADVobserved 4 days ago
Occurred
Jan 4, 2022
Control person left
John Daniel Sobol (L.L.C. Member / Portfolio Manager) no longer on Schedule A of Gofen And Glossberg, L.L.C. (listed 2021-09-24, absent 2022-01-04)
Form ADVobserved 4 days ago
Occurred
Jan 4, 2022
Control person left
William John Myers (L.L.C. Member / Portfolio Manager) no longer on Schedule A of Gofen And Glossberg, L.L.C. (listed 2021-09-24, absent 2022-01-04)
Form ADVobserved 4 days ago
Occurred
Jan 4, 2022
Control person left
Todd Jonathan Vree (L.L.C. Member/Portfolio Manager) no longer on Schedule A of Gofen And Glossberg, L.L.C. (listed 2021-09-24, absent 2022-01-04)
Form ADVobserved 4 days ago
Occurred
Jan 4, 2022
Control person left
Patricia Mary Burke (L.L.C. Member/Senior Research Analyst) no longer on Schedule A of Gofen And Glossberg, L.L.C. (listed 2021-09-24, absent 2022-01-04)
Form ADVobserved 4 days ago
Occurred
Jan 4, 2022
Control person left
Jarrett Scott Frazin (L.L.C. Member/Portfolio Manager) no longer on Schedule A of Gofen And Glossberg, L.L.C. (listed 2021-09-24, absent 2022-01-04)
Form ADVobserved 4 days ago
Occurred
Jan 4, 2022
Control person left
Joseph John Ptak (L.L.C. Member/Senior Research Analyst) no longer on Schedule A of Gofen And Glossberg, L.L.C. (listed 2021-09-24, absent 2022-01-04)
Form ADVobserved 4 days ago
Occurred
Mar 2, 2020
Control person left
Harold William Gofen (L.L.C. Member / Portfolio Manager) no longer on Schedule A of Gofen And Glossberg, L.L.C. (listed 2019-11-19, absent 2020-03-02)
Form ADVobserved 4 days ago
Occurred
Nov 19, 2019
Control person joined
Jarrett Scott Frazin (L.L.C. Member/Portfolio Manager) appeared on Schedule A of Gofen And Glossberg, L.L.C.
Form ADVobserved 4 days ago
Occurred
Nov 19, 2019
Control person joined
Joseph John Ptak (L.L.C. Member/Senior Research Analyst) appeared on Schedule A of Gofen And Glossberg, L.L.C.
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:17e90b4a-28b8-1dc8-89ce-dfc67251bb85
First observed: Mar 21, 2012
Last observed: Mar 1, 2023 43 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.

GOFEN AND GLOSSBERG, L.L.C.

CRD 107859

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:17e90b4a-28b8-1dc8-89ce-dfc67251bb85

Data as of Mar 1, 2023 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:57 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BROWN, MARK

L.L.C. MEMBER / GENERAL COUNSEL

yes

09/2005

Mar 21, 2012

Mar 1, 2023

CI FINANCIAL CORP

Owner

yes

12/2021

Jan 4, 2022

Mar 1, 2023

CI PRIVATE WEALTH, LLC

Owner

yes

12/2021

Mar 1, 2023

CI US HOLDINGS INC.

Owner

yes

12/2021

Jan 4, 2022

Mar 1, 2023

CI US, LLC

Owner

yes

12/2021

Jan 4, 2022

Mar 1, 2023

CIPW HOLDINGS, LLC

Owner

yes

12/2021

Mar 1, 2023

GOFEN, CHARLES, SAMUEL

EXECUTIVE COMMITTEE MEMBER/L.L.C. MEMBER / PORTFOLIO MANAGER

yes

05/1997

Mar 21, 2012

Mar 1, 2023

KUPFERBERG, PETER, BEHR

EXECUTIVE COMMITTEE/L.L.C. MEMBER / PORTFOLIO MANAGER

yes

05/1997

Mar 21, 2012

Mar 1, 2023

NAKAMURA, LARRY, TRISTON

CHIEF COMPLIANCE OFFICER

yes

02/2023

Mar 1, 2023

STELMACKI, MICHAEL, JOSEPH

EXECUTIVE COMMITTEE MEMBER/L.L.C. MEMBER / RESEARCH DIRECTOR

yes

06/2000

Mar 21, 2012

Mar 1, 2023

Wang, Hongwu

L.L.C. MEMBER/CHIEF INFORMATION OFFICER

yes

07/2016

Mar 27, 2017

Mar 1, 2023

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CI PRIVATE WEALTH, LLC

n/a

Independent wealth

$165B

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2021

Feb 10, 2022

$6.5B

$6.2B

n/a

2020

Feb 3, 2021

$5.6B

$5.3B

n/a

2019

Mar 2, 2020

$5.0B

$4.7B

n/a

2018

Jan 29, 2019

$4.2B

$3.9B

n/a

2017

Mar 28, 2018

$4.4B

$4.1B

n/a

2016

Mar 27, 2017

$4.0B

$3.7B

n/a

2015

Mar 28, 2016

$3.8B

$3.5B

n/a

2014

Mar 25, 2015

$3.7B

$3.5B

n/a

2013

Mar 20, 2014

$3.5B

$3.3B

n/a

2012

Mar 25, 2013

$3.0B

$2.8B

n/a

2011

Mar 21, 2012

$2.8B

$2.6B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2021

$6.5B

$5.6B

16.6%

$4.2B

15.7%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

Corient

Mar 31, 2023

Jan 3, 2023

CHICAGO, IL

Firm absorbed

RIA to ibd

100.0%