DFX Intelligence

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

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RIA / WealthRegistered adviserno raum reportedSEC registeredRAUM none

A•• S••••••••• L••

CRD 4138

CHICAGO, IL

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Search this name across graphsid dfx:ria:2d92843e-2728-5799-da6b-413abb9c6d3d

Data as of Mar 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 22
Dated events: 17
On other graphs: 2
Observed: Feb 22, 2012 to Mar 26, 2026
26 observations

Across DFX

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

Independent Sponsorsidentity

A•• S••••••••• L••

Intermediary · shared crd

Real Estate Fundsidentity

A•• S••••••••• I•••

Affiliate · 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=true related_bank=true bd_reps=14.0
Regulatory AUM: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 14
Advisory employees: 14
Offices: 1Schedule D 1.F, beyond the principal office

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•• C•••••••••	Shareholder	E	yes	02/1997	Feb 22, 2012	Oct 8, 2024
A•• G••••• H••••••• L••••••	Shareholder	E	yes	01/2015	Aug 10, 2015	Oct 8, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A•• I••••••••• U•• I•••	n/a	Institutional manager	$151B	N	yes	n/a
A•• A•••••••• F•••• L••	n/a	Former SEC adviser	$149M	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 26, 2026

Growth

••• Locked

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	14	14	1	0

Relationships

Affiliated with (6)

→ A•• I••••••••• U•• I•••Registered adviserother investment adviser, bank, pooled vehicle sponsor, LP sponsor, common control
factForm ADV
→ A•• A•••••••• F•••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← A•• I••••••••• U•• I•••Registered adviserother investment adviser, broker-dealer, bank, common control
factForm ADV
← A•• A•••••••• F•••• L••Registered adviser

Dated events

Occurred
Mar 26, 2026
Ria indirect owner change
••• Locked
Form ADVobserved today
Occurred
Mar 26, 2026
Ria indirect owner change
••• Locked
Form ADVobserved today
Occurred
Mar 26, 2026
Ria indirect owner change
••• Locked
Form ADVobserved today
Occurred
Mar 26, 2026

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2d92843e-2728-5799-da6b-413abb9c6d3d
First observed: Feb 22, 2012
Last observed: Mar 26, 2026 6 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.