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CRD 170543
BARRINGTON, IL
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| R••••• D••••• L•••• | Chartered Financial Consultant | BARRINGTON, IL | 11 | 34 | 3 | yes |
| C•••••• R••••••••• I••••• | Chartered Financial Consultant | Wilmette, IL | BARRINGTON, IL | 11 | 43 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| L••••• R•••••• D••••• | CHIEF COMPLIANCE OFFICER AND MANAGING MEMBER | E | yes | 10/2014 | Sep 15, 2014 | Mar 13, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Chicago | IL | United States | 3 | no |
| Appleton | Wi | United States | 2 | no |
| Barrington | IL | United States | 1 | no |
| GLENN ELLYN | IL | United States | 1 | no |
| Naperville | IL | United States |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 0 | 0 | 0.0% | 0 | 0 | 0 | 0 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $600M | $514M | 16.6% | $438M | 11.0% | 16 | 16 | 9 | 12 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| O•••• A••••••• S•••••••• L•• | 2 | Apr 30, 2021 | Mar 29, 2021 | BARRINGTON, IL | Team lift out | RIA to ibd | 9.5% |
| O•••• A••••••• S•••••••• L•• | 5 | Sep 26, 2019 | Aug 30, 2019 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| A•••••••• I••••••••• M••••••••• L•• | 2 | Oct 2, 2019 | Oct 1, 2019 | SHEFFILED VILLAGE, OH | Team lift out | RIA to RIA | 13.3% |
| L•• F•••••••• L•• | 2 | Sep 18, 2019 | Feb 25, 2015 |
| yes |
| T•••••• E••••• O•••••••• | n/a | BARRINGTON, IL | 11 | 20 | 2 | yes |
| D•••• L••••••• A•••••• | Certified Financial Planner | BARRINGTON, IL | 11 | 33 | 3 | yes |
| E••••• V••••• S•••• | Certified Financial Planner | BARRINGTON, IL | SOUTH BARRINGTON, IL | 11 | 18 | 1 | yes |
| J••• J•••• K••••• | n/a | BARRINGTON, IL | APPLETON, WI | 11 | 27 | n/a | yes |
| C•••••• P•••••• M•••• | Certified Financial Planner | GLEN ELLYN, IL | BARRINGTON, IL | 11 | 34 | 2 | yes |
| S••• L•••• | Certified Financial Planner | Chicago, IL | 10 | 13 | 1 | yes |
| D•••• E••• B•••••• | Chartered Financial Consultant | ATLANTA, GA | BARRINGTON, IL | Chicago, IL | 10 | 14 | 2 | yes |
| R••••• A••••• E••••• | Chartered Financial Consultant | Appleton, WI | 9 | 39 | n/a | yes |
| L••• P• Z••••• | Certified Financial Planner | BARRINGTON, IL | Naperville, IL | 9 | 34 | 3 | yes |
| G••• T••••• H•••• | n/a | BARRINGTON, IL | 8 | 34 | 1 | yes |
| A•••••• J••••• B••••••••• | Personal Financial Specialist | Barrington, IL | 7 | 23 | 2 | no |
| P•••••• D••••• L•••• | Certified Financial Planner | BARRINGTON, IL | 5 | 10 | n/a | yes |
| no |
| Wilmette | IL | United States | 1 | no |
| n/a | n/a | n/a | 0 | yes |
| Mar 12, 2026 |
| $600M |
| $227M |
| 16 |
| 16 |
| 9 |
| n/a |
| n/a |
| 2024 | Mar 17, 2025 | $514M | $199M | 16 | 16 | 12 | n/a | n/a |
| 2023 | Mar 13, 2024 | $457M | $200M | 20 | 20 | 10 | n/a | n/a |
| 2022 | Mar 10, 2023 | $438M | $194M | 22 | 22 | 12 | n/a | n/a |
| 2021 | Mar 24, 2022 | $496M | $240M | 22 | 22 | 12 | n/a | n/a |
| 2020 | Mar 31, 2021 | $460M | $292M | 25 | 25 | 11 | n/a | n/a |
| 2019 | Mar 16, 2020 | $359M | $215M | 24 | 24 | 11 | n/a | n/a |
| 2018 | Mar 27, 2019 | $325M | $325M | 23 | 23 | 12 | n/a | n/a |
| 2017 | Mar 28, 2018 | $305M | $305M | 23 | 23 | 12 | n/a | n/a |
| 2016 | Feb 7, 2017 | $355M | $346M | 21 | 21 | n/a | n/a | n/a |
| 2015 | Mar 24, 2016 | $283M | $85.2M | 18 | 16 | n/a | n/a | n/a |
| 2014 | Feb 17, 2015 | $233M | $143M | 12 | 11 | n/a | n/a | n/a |
| BARRINGTON, IL |
| Team lift out |
| RIA to ibd |
| 21.7% |
| C••• L•• | 2 | Aug 15, 2017 | Aug 14, 2017 | BARRINGTON, IL | Team lift out | Other | 8.3% |
| SOUTH BARRINGTON, IL |
| Team lift out |
| Ibd to RIA |
| 0.0% |
| L•• F•••••••• L•• | 2 | Oct 28, 2015 | Dec 19, 2014 | SOUTH BARRINGTON, IL | Team lift out | Other | 0.0% |