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

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

A•••• I•••••••• N•••• A••••••• I•••

CRD 109481

CHICAGO, IL

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Search this name across graphsid dfx:ria:43ba92d9-1936-5d93-29b0-aa0ad93efef7

Data as of Oct 3, 2013 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 0
On other graphs: 1
Observed: Nov 15, 2011 to Oct 3, 2013
10 observations

Across DFX

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

Real Estate Fundsidentity

A•••• I•••••••• N•••• A••••••• I•••

Real estate fund manager · 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: $242MItem 5.F on the latest filing (2013-10-03); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $242M
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

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
A•••• G•••• H•••••••• L•••	Shareholder	E	yes	11/2006	Nov 15, 2011	Oct 3, 2013
A•••• I•••••••• H•••••••• L••	Shareholder	E	yes	10/2013	Oct 3, 2013

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
R•••• R••• A•••• M••••••••• L••	n/a	Asset manager	$9.9B	N	yes	n/a
A•••• I•••••••• A••••••• L••	n/a	Former SEC adviser	$59.1M	N	yes

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
2012	$242M	$61B	-99.6%	n/a	n/a	1	n/a	n/a	n/a

Relationships

Affiliated with (2)

→ R•••• R••• A•••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ A•••• INVESTORS A•••••••Registered adviserother investment adviser, common control
factForm ADV

Controls (8)

← P••••••••• A••••• C••••••OwnerCHIEF LEGAL OFFICER, SECRETARY, ownership code NA, individual
Nov 15, 2011 to presentfactForm ADV
← O••••••• P••••••• J•Owner

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:43ba92d9-1936-5d93-29b0-aa0ad93efef7
First observed: Nov 15, 2011
Last observed: Oct 3, 2013 157 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.