DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

B••••••••• A•••• M••••••••• I•••

CRD 113740

CHICAGO, IL

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:39ecbbf1-476e-fa25-bdeb-cc8468d56173

Data as of Oct 22, 2012 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:29 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Jan 24, 2012 to Oct 22, 2012
3 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: $54.2M••• Locked
Discretionary RAUM: $54.2M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $13.5Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J••• T••••• D••••••	Chartered Financial Analyst	CHICAGO, IL	28	34	n/a	no
J•• P••• W•••••••	n/a	CHICAGO, IL	23	45

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
P••••• A••••••••• P••••	FOUNDER AND CHAIRMAN	E	yes	09/1985	Jan 24, 2012	Oct 22, 2012
P••••• A••••••••• P••••	President	Na	yes	03/2004	Jan 24, 2012	Oct 22, 2012

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
B••••••••• R••••••• A••••••••• I•••	n/a	n/a	n/a	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 7, 2012	$54.2M	$54.2M	n/a	n/a	n/a	n/a	n/a

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$54.2M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (2)

← P••••• A••••••••• P••••OwnerPRESIDENT, ownership code NA, individual
Jan 24, 2012 to presentfactForm ADV
← P••••• G••••••• D••••OwnerEXECUTIVE VICE PRESIDENT & CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 24, 2012 to presentfactForm ADV

Registered with (5)

← A•••••••• P•••• P••••Advisorregistration: current employment
Jun 14, 2006 to presentfactForm ADV
← G••• F•••• P•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:39ecbbf1-476e-fa25-bdeb-cc8468d56173
First observed: Jan 24, 2012
Last observed: Oct 22, 2012 169 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.