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CRD 297928
CHICAGO, IL
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| E••••• J••••• S•••••• | n/a | CHICAGO, IL | 6 | 20 | 1 | yes |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| R•• G•••• I••••••••• L•• | Member | E | yes | 06/2018 | Aug 23, 2018 | Jul 10, 2020 |
| S•••••••• R••••• | Member | C | yes | 06/2018 | Aug 23, 2018 | Jul 10, 2020 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2019 | Feb 3, 2020 |
| 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 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2019 | $0 | $0 | n/a | n/a | n/a | 1 | 1 | 0 | 0 |
| CHIEF COMPLIANCE OFFICER |
| Na |
| yes |
| 07/2018 |
| Aug 23, 2018 |
| Jul 10, 2020 |
| S••••••• E•••••• J••••• | Member | C | yes | 06/2018 | Aug 23, 2018 | Jul 10, 2020 |
| $5.0M |
| $400,000 |
| 1 |
| 1 |
| 0 |
| n/a |
| n/a |
| 2018 | Mar 5, 2019 | $0 | $0 | 1 | 1 | 0 | n/a | n/a |