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

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

O•• A•••• M••••••••• L••

CRD 139790

OAK BROOK, IL

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Search this name across graphsid dfx:ria:407de54f-944b-75d9-c44c-5bfe38132578

Data as of Nov 6, 2020 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 1
Observed: Mar 15, 2012 to Nov 6, 2020
16 observations

Across DFX

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

Allocatorsidentity

O•• A•••• M••••••••• L••

Investment consultant · shared crd

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: $209MItem 5.F on the latest filing (2020-11-06); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $206M
Private client RAUM: $117MderivedItem 5.D individuals plus high net worth individuals
Private client share: 56%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

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
S••••• S••••• A••••••	PRESIDENT/MANAGING MEMBER, CHIEF COMPLIANCE OFFICER	C	yes	01/2006	Mar 15, 2012	Nov 6, 2020
B••••• S••••	Member	C	no	01/2006	Mar 15, 2012

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

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
2019	$209M	$176M	18.6%	$148M	12.1%	1	1	0	0

Relationships

Controls (1)

← S••••• S••••• A••••••OwnerPRESIDENT/MANAGING MEMBER, CHIEF COMPLIANCE OFFICER, ownership code C, individual
Mar 15, 2012 to presentfactForm ADV

Owns (2)

← S••••••• J•••••• M•••••OwnerMEMBER, ownership code C, individual
Mar 15, 2012 to presentfactForm ADV
← B••••• S••••OwnerMEMBER, ownership code C, individual
Mar 15, 2012 to presentfactForm ADV

Registered with (1)

← S•••• A•••••• S••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:407de54f-944b-75d9-c44c-5bfe38132578
First observed: Mar 15, 2012
Last observed: Nov 6, 2020 71 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.