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CRD 111746
MILWAUKEE, WI
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.
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| NIS PREFERRED STOCK FUND, LLC | Other Private Fund | $0 | Aug 13, 2015 | 0 | Mar 30, 2012 | dropped | n/a |
| NIS PREFERRED STOCK FUND III, LLC | Other Private Fund | $0 | Aug 13, 2015 | 0 | Mar 30, 2012 | dropped | n/a |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| ANDERSON, MARK, ROBERT | CHIEF STRATEGY OFFICER | F | yes | 07/2014 | Mar 29, 2018 | May 31, 2019 |
| ANDERSON, MARK, ROBERT | CHIEF STRATEGY OFFICER | Na | yes | 07/2014 | Mar 29, 2018 | May 31, 2019 |
| BERRIE, JASON, CHRISTOPHER | CO-CHIEF INVESTMENT OFFICER | Na | yes | 07/2014 | Mar 29, 2018 | May 31, 2019 |
| BERRIE, JASON, CHRISTOPHER | CO-CHIEF INVESTMENT OFFICER | F | yes | 07/2014 | Mar 29, 2018 | May 31, 2019 |
| BROOKS, ROBERT, PATRICK | CHIEF EXECUTIVE OFFICER | F | yes | 07/2014 | Nov 8, 2011 | May 31, 2019 |
| BROOKS, ROBERT, PATRICK | CHIEF EXECUTIVE OFFICER | Na | yes | 07/2014 | Nov 8, 2011 | May 31, 2019 |
| FREMGEN, JOHN, P | PRINCIPAL, MANAGING PARTNER | Na | yes | 07/2014 | Jul 22, 2014 | May 31, 2019 |
| FREMGEN, JOHN, P | PRINCIPAL, MANAGING PARTNER | F | yes | 07/2014 | Jul 22, 2014 | May 31, 2019 |
| HASLEE, LARRY, HAROLD | CHIEF COMPLIANCE OFFICER | F | yes | 07/2014 | Nov 8, 2011 | May 31, 2019 |
| HASLEE, LARRY, HAROLD | CHIEF COMPLIANCE OFFICER | Na | yes | 07/2014 | Nov 8, 2011 | May 31, 2019 |
| MCCARTIN, BARTLETT, JOSEPH | PRINCIPAL, MANAGING PARTNER | F | yes | 07/2014 | Jul 22, 2014 | May 31, 2019 |
| MCCARTIN, BARTLETT, JOSEPH | PRINCIPAL, MANAGING PARTNER | Na | yes | 07/2014 | Jul 22, 2014 | May 31, 2019 |
| NIS HOLDING CORPORATION | DIRECT OWNER | E | yes | 07/2014 | Mar 29, 2016 | May 31, 2019 |
| PULLEN, TYLER, JAMES | CHIEF EQUITY OFFICER | Na | yes | 07/2017 | Jan 29, 2015 | May 31, 2019 |
| PULLEN, TYLER, JAMES | CHIEF EQUITY OFFICER | F | yes | 07/2017 | Jan 29, 2015 | May 31, 2019 |
| SIDLER, NORMAN, EDWARD | PRINCIPAL, MANAGING PARTNER | F | yes | 07/2014 | Jul 22, 2014 | May 31, 2019 |
| SIDLER, NORMAN, EDWARD | PRINCIPAL, MANAGING PARTNER | Na | yes | 07/2014 | Jul 22, 2014 | May 31, 2019 |
| VAN LITH, SCOTT, ORILE | CHIEF FINANCIAL OFFICER | F | yes | 07/2017 | Mar 31, 2017 | May 31, 2019 |
| VAN LITH, SCOTT, ORILE | CHIEF FINANCIAL OFFICER | Na | yes | 07/2017 | Mar 31, 2017 | May 31, 2019 |
| WHITE, KENT, JAY | CO-CHIEF INVESTMENT OFFICER | Na | yes | 07/2014 | Nov 8, 2011 | May 31, 2019 |
| WHITE, KENT, JAY | CO-CHIEF INVESTMENT OFFICER | F | yes | 07/2014 | Nov 8, 2011 | May 31, 2019 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Chicago | IL | United States | 7 | no |
| Sarasota | FL | United States | 6 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2018 | Mar 27, 2019 | $7.2B | $7.2B | 38 | 14 | 2 | 12 | $3.3B |
| 2017 | Mar 29, 2018 | $6.7B | $6.7B | 37 | 14 | 2 | 12 | $2.9B |
| 2016 | Mar 31, 2017 | $6.4B | $6.4B | 36 | 13 | n/a | 7 | $2.7B |
| 2015 | Mar 29, 2016 | $4.9B | $4.9B | 35 | 11 | n/a | 7 | $2.1B |
| 2014 | Mar 31, 2015 | $4.2B | $4.2B | 30 | 9 | n/a | 8 | $1.6B |
| 2013 | Mar 28, 2014 | $3.5B | $3.5B | 24 | 7 | n/a | 8 | $1.1B |
| 2012 | Feb 28, 2013 | $3.3B | $3.3B | 24 | 7 | n/a | 7 | $845M |
| 2011 | Mar 30, 2012 | $2.9B | $2.9B | n/a | n/a | n/a | 7 | $688M |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2018 | $7.2B | $6.7B | 7.4% | $4.9B | 13.8% | 38 | 37 | 2 | 2 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| NATIONAL INVESTMENT SERVICES OF AMERICA, LLC | 7 | Feb 28, 2020 | Jan 1, 2025 | MILWAUKEE, WI | Firm absorbed | Other | 87.5% |