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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

MIDWEST INVESTMENT MANAGEMENT LLC

CRD 111170

CLEVELAND, OH

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:2e740b48-1e9b-9e8f-8e96-bd306b2d8218

Data as of Nov 29, 2017 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:29 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: Feb 22, 2012 to Nov 29, 2017
14 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
Regulatory AUM: $229MItem 5.F on the latest filing (2017-11-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $211M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 8
Advisory employees: 6
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 543
SEC number: 801-57070
CRD: 111170
Filings on the tape: 14
First filed: Feb 22, 2012
Latest filed: Nov 29, 2017
Organised: Limited Liability Company, Ohio

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
HALLORAN, MARGARET, ELLEN	Member	C	yes	12/2004	Feb 22, 2012	Nov 29, 2017
KLOPP, NORMAN, FRANCIS	MANAGING MEMBER/CHIEF COMPLIANCE OFFICER	B	yes	01/2000	Jul 2, 2015	Nov 29, 2017
MESZAROS, ELMER, LADISLAUS	Member	C	yes	01/2000	Feb 22, 2012	Nov 29, 2017
YAROMA, ROBERT, JOHN	Member	B	yes	01/2000	Feb 22, 2012	Nov 29, 2017
VARGO, KEITH, ALLEN	Member	A	no	07/2013	Jul 31, 2013	Nov 29, 2017

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
2016	Mar 9, 2017	$229M	$211M	8	6	n/a	n/a	n/a
2015	Mar 2, 2016	$219M	$202M	8	6	n/a	n/a	n/a
2014	Feb 19, 2015	$228M	$228M	10	9	n/a	n/a	n/a
2013	Mar 12, 2014	$223M	$223M	8	7	n/a	n/a	n/a
2012	Mar 14, 2013	$141M	$141M	7	6	n/a	n/a	n/a
2011	Feb 22, 2012	$120M	$120M	n/a	n/a	n/a	n/a	n/a

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
2016	$229M	$219M	4.8%	$223M	1.0%	8	8	0	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
CARNEGIE INVESTMENT COUNSEL	3	Dec 12, 2017	Oct 10, 2017	CLEVELAND, OH	Firm absorbed	Other	100.0%

Relationships

Controls (4)

← MESZAROS, ELMER, LADISLAUSOwnerMEMBER, ownership code C, individual
Feb 22, 2012 to presentfactForm ADV
← KLOPP, NORMAN, FRANCISOwnerMANAGING MEMBER/CHIEF COMPLIANCE OFFICER, ownership code B, individual
Jul 2, 2015 to presentfactForm ADV
← YAROMA, ROBERT, JOHNOwnerMEMBER, ownership code B, individual
Feb 22, 2012 to presentfactForm ADV
← HALLORAN, MARGARET, ELLENOwnerMEMBER, ownership code C, individual
Feb 22, 2012 to presentfactForm ADV

Owns (1)

← VARGO, KEITH, ALLENOwnerMEMBER, ownership code A, individual
Jul 31, 2013 to presentfactForm ADV

Registered with (3)

← PETER ALFRED VANDENBROECKAdvisorregistration: previous registration
Jul 16, 2015 to Dec 12, 2017factForm ADV
← KEITH ALLEN VARGOAdvisorregistration: previous registration
Jul 8, 2015 to Dec 12, 2017factForm ADV
← MARGARET ELLEN HALLORANAdvisorregistration: previous registration
Sep 28, 2015 to Dec 12, 2017factForm ADV

Moved with (1)

→ CARNEGIE INVESTMENT COUNSELRegistered adviser3 advisors, firm absorbed, same day
Dec 12, 2017 to Oct 10, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2e740b48-1e9b-9e8f-8e96-bd306b2d8218
First observed: Feb 22, 2012
Last observed: Nov 29, 2017 107 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.

MIDWEST INVESTMENT MANAGEMENT LLC

CRD 111170

CLEVELAND, OH

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:2e740b48-1e9b-9e8f-8e96-bd306b2d8218

Data as of Nov 29, 2017 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:29 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HALLORAN, MARGARET, ELLEN

Member

yes

12/2004

Feb 22, 2012

Nov 29, 2017

KLOPP, NORMAN, FRANCIS

MANAGING MEMBER/CHIEF COMPLIANCE OFFICER

yes

01/2000

Jul 2, 2015

Nov 29, 2017

MESZAROS, ELMER, LADISLAUS

Member

yes

01/2000

Feb 22, 2012

Nov 29, 2017

YAROMA, ROBERT, JOHN

Member

yes

01/2000

Feb 22, 2012

Nov 29, 2017

VARGO, KEITH, ALLEN

Member

07/2013

Jul 31, 2013

Nov 29, 2017

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Mar 9, 2017

$229M

$211M

n/a

2015

Mar 2, 2016

$219M

$202M

n/a

2014

Feb 19, 2015

$228M

n/a

2013

Mar 12, 2014

$223M

n/a

2012

Mar 14, 2013

$141M

n/a

2011

Feb 22, 2012

$120M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

$229M

$219M

4.8%

$223M

1.0%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CARNEGIE INVESTMENT COUNSEL

Dec 12, 2017

Oct 10, 2017

CLEVELAND, OH

Firm absorbed

Other

100.0%