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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

F••••

F•••• FINANCIAL LLC, CRD 158714

CHICAGO, IL

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Search this name across graphsid dfx:ria:2448813b-a9af-6840-b239-566e0521b7ed

Data as of Mar 23, 2016 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 16, 2012 to Mar 23, 2016
16 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
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 2
Advisory employees: 2
SEC number: 801-72661
CRD: 158714
Filings on the tape: 16

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
F•••• I•••	PARENT CORPORATION	E	yes	02/2011	Apr 18, 2013	Mar 23, 2016
G••••• D••••• M•	Shareholder	C	yes	04/2013	Mar 16, 2012

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
2015	Mar 23, 2016	n/a	n/a	2	2	n/a	n/a	n/a
2014

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
2015	n/a	n/a	n/a	n/a	n/a	2	2	n/a	n/a

Relationships

Controls (4)

← G••••• D••••• M•OwnerSHAREHOLDER, ownership code C, individual
Mar 16, 2012 to presentfactForm ADV
← L••••••• A•••• A•••OwnerSHAREHOLDER, ownership code C, individual
Mar 16, 2012 to presentfactForm ADV
← M••••• R••••OwnerSHAREHOLDER, ownership code F, individual
Mar 16, 2012 to presentfactForm ADV
← F•••• I•••OwnerPARENT CORPORATION, ownership code E, domestic entity
Apr 18, 2013 to presentfact

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2448813b-a9af-6840-b239-566e0521b7ed
First observed: Mar 16, 2012
Last observed: Mar 23, 2016 127 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.