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S•••••••• C•••••• I••••••••• A••••••• I••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserno raum reportedSEC registeredRAUM none

S•••••••• C•••••• I••••••••• A••••••• I••

CRD 107772

LOMBARD, IL

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Search this name across graphsid dfx:ria:2bde295a-d765-0838-904b-8f51b657721c

Data as of Feb 23, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 1
Observed: Mar 8, 2012 to Feb 23, 2026
22 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

S•••••••• C•••••• I••••••••• A••••••• I••

Investment consultant · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: no raum reportedderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $0Item 5.F on the latest filing (2026-02-23); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 15
Advisory employees: 14
Offices

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
G••••• D•••••• R••••••	Principal	D	yes	01/1999	Mar 8, 2012	Feb 29, 2024
L••••••• R••••••• K••••••	PRINCIPAL/CHIEF COMPLIANCE OFFICER	D	yes	01/1999	Mar 8, 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
2025

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
2025	$0	$0	n/a	n/a	n/a	15	13	0	0

Relationships

Controls (2)

← L••••••• R••••••• K••••••OwnerPRINCIPAL/CHIEF COMPLIANCE OFFICER, ownership code D, individual
Mar 8, 2012 to Feb 29, 2024factForm ADV
← G••••• D•••••• R••••••OwnerPRINCIPAL, ownership code D, individual
Mar 8, 2012 to Feb 29, 2024factForm ADV

Owns (4)

← S•••••• M••••••• A•••••OwnerSENIOR CONSULTANT, ownership code NA, individual
Feb 24, 2023 to Feb 29, 2024factForm ADV
← S••••••••• E••••• J•••••OwnerSENIOR ASSOCIATE, ownership code NA, individual

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2bde295a-d765-0838-904b-8f51b657721c
First observed: Mar 8, 2012
Last observed: Feb 23, 2026 7 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.