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CRD 107997
CHICAGO, 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.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| B•••••••• L•••••••• J•• | CO-CHIEF EXECUTIVE OFFICER, DIRECTOR | Na | yes | 05/2006 | Mar 14, 2012 | Jan 13, 2022 |
| B•••••• E••••• M•••• | CO-CHIEF EXECUTIVE OFFICER, DIRECTOR | Na | yes | 05/2006 | Mar 14, 2012 | Jan 13, 2022 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| R•• C•••••• M••••••• L•• | n/a | National bd RIA | $310B | N | yes | NY |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2021 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2021 | $4.0B | $3.2B | 25.0% | $2.7B | 13.2% | 17 | 19 | 0 | 1 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| C•••••••• W••••• | 2 | Apr 1, 2022 | Apr 3, 2022 | CHICAGO, IL | Team lift out | Other | 100.0% |
| INTEREST HOLDER |
| E |
| yes |
| 04/2003 |
| Mar 14, 2012 |
| Jan 13, 2022 |
| F••••••••• G••••••• P••• | Director | Na | yes | 11/2017 | Dec 15, 2017 | Jan 13, 2022 |
| L•••••• S••••• E••••• | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | Na | yes | 02/2004 | Mar 14, 2012 | Jan 13, 2022 |
| M••••• J•••• D• | CHAIRMAN & DIRECTOR | Na | yes | 05/2006 | Mar 14, 2012 | Jan 13, 2022 |
| N•••••••• M••••••• J••••• | Director | Na | yes | 04/2019 | Dec 16, 2019 | Jan 13, 2022 |
| R•• U• G•••• H••••••• L•• | Owner | E | yes | 12/2020 | Dec 8, 2021 | Jan 13, 2022 |
| R•• U•• H••••• C••••••••• | Owner | E | yes | 11/2015 | Nov 30, 2015 | Jan 13, 2022 |
| R•••• B••• O• C••••• | ULTIMATE OWNER | E | yes | 12/2020 | Nov 30, 2015 | Jan 13, 2022 |
| A•••••••• R••••• A• | EXECUTIVE VICE PRESIDENT, DIRECTOR | Na | no | 05/2006 | Mar 14, 2012 | Jan 13, 2022 |
| $4.0B |
| $3.8B |
| 17 |
| 9 |
| 1 |
| n/a |
| n/a |
| 2020 | Dec 23, 2020 | $3.2B | $3.1B | 19 | 10 | 1 | n/a | n/a |
| 2019 | Dec 16, 2019 | $3.1B | $2.9B | 20 | 11 | 0 | n/a | n/a |
| 2018 | Dec 17, 2018 | $2.7B | $2.6B | 18 | 10 | 0 | n/a | n/a |
| 2017 | Dec 15, 2017 | $2.7B | $2.6B | 18 | 11 | 0 | n/a | n/a |
| 2016 | Dec 21, 2016 | $2.3B | $2.2B | 19 | 10 | n/a | n/a | n/a |
| 2015 | Mar 9, 2016 | $2.4B | $2.2B | 17 | 9 | n/a | n/a | n/a |
| 2014 | Mar 25, 2015 | $2.2B | $2.1B | 17 | 9 | n/a | n/a | n/a |
| 2013 | Mar 25, 2014 | $2.1B | $1.9B | 17 | 7 | n/a | n/a | n/a |
| 2012 | Mar 12, 2013 | $1.7B | $1.5B | 14 | 7 | n/a | n/a | n/a |
| 2011 | Mar 14, 2012 | $1.5B | $1.3B | n/a | n/a | n/a | n/a | n/a |