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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

V••••••••• C•••••• A••••••• L••

CRD 108647

CHICAGO, IL

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Search this name across graphsid dfx:ria:48e20973-7611-aa17-1824-759934caf6f1

Data as of Mar 30, 2015 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:36 AM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 0
On other graphs: 0
Observed: Mar 15, 2012 to Mar 30, 2015
8 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: $1.2BItem 5.F on the latest filing (2015-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.2B
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

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
M••••••••• P••• C•• I• L•••	Securitized Asset Fund	$1.8B	Oct 6, 2014	0	Mar 15, 2012	reported	n/a
L•••••• A••••• A•• C••• L•••	Securitized Asset Fund	$386M

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
B••••••• J•••• M•	CHIEF COMPLIANCE OFFICER	Na	yes	07/2012	Jul 6, 2012	Mar 30, 2015
D••••••• G••••• M••••••	President	Na	yes	10/2014	Mar 15, 2012

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
P•••••• I••••••••• M••••••••• I•••	n/a	Former SEC adviser	$120B	N	yes	n/a
P•••••• I••••••••• A•••• M••••••••• I•••	n/a	Former SEC adviser	$18B	Y	no

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
2014	$1.2B	$3.4B	-65.5%	$4.6B	-36.8%	3	3	n/a	n/a

Relationships

Affiliated with (2)

→ AMUNDI ASSET MANAGEMENT US, INC.Registered adviserother investment adviser, common control
factForm ADV
→ AMUNDI P•••••• I••••••••• A•••• M••••••••• I•••Registered adviserother investment adviser, control
factForm ADV

Advises (5)

→ L••••••• C•• I•• L•••Private fundSecuritized Asset Fund, IA
Mar 15, 2012 to presentfactForm ADV
→ B•••••• C•• I• L•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:48e20973-7611-aa17-1824-759934caf6f1
First observed: Mar 15, 2012
Last observed: Mar 30, 2015 139 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.