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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 10b 100b

MCDONNELL INVESTMENT MANAGEMENT, LLC

CRD 113878

OAK BROOK, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:499dff48-b2af-9a15-5aa1-7717a2fff670

Data as of Jul 27, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2012 to Jul 27, 2012
2 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: $12BItem 5.F on the latest filing (2012-07-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $12B
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
Accounts: 8,230
Private funds: 1Schedule D 7.B(1)
Private fund GAV: $53.1Mgross asset value as reported per fund; never fund size
Custody, client assets: $53.1M
SEC number: 801-60399
CRD: 113878
Filings on the tape: 2
First filed: Mar 29, 2012
Latest filed: Jul 27, 2012
Organised: Limited Liability Company, Delaware

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
MCCAREINS, JOHN, MARTIN	CHIEF MKTG OFFCR & CLASS A MEMBER	A	yes	08/2001	Mar 29, 2012	Jul 27, 2012
MCDONNELL, DENNIS, JOHN	CHAIRMAN & CLASS A MEMBER	C	yes	08/2001	Mar 29, 2012	Jul 27, 2012
TREICHEL, EDWARD, ALLEN	PRESIDENT, CEO & CLASS A MEMBER	B	yes	05/2001	Mar 29, 2012	Jul 27, 2012
WOOD, EDWARD, CHARLES	CHIEF OPERATING OFFCR & CLASS A MEMBER	Na	yes	08/2010	Mar 29, 2012	Jul 27, 2012
CARTER, PAUL, JEROME	CHIEF COMPLIANCE OFFICER & CLASS B MEMBER	Na	no	07/2004	Mar 29, 2012	Jul 27, 2012
CECIL, PHILIP, WAYNE	GENERAL COUNSEL & CLASS B MEMBER	Na	no	05/2008	Mar 29, 2012	Jul 27, 2012
CLERKIN, PETER, LYDON	MANAGING DIRECTOR & CLASS A MEMBER	A	no	08/2001	Mar 29, 2012	Jul 27, 2012
GIURA, MARK, JOSEPH	MANAGING DIRECTOR & CLASS A MEMBER	A	no	08/2001	Jul 27, 2012	Jul 27, 2012
OSWALD, CHRISTOPHER, LEE	TREASURER & CLASS B MEMBER	Na	no	01/2003	Mar 29, 2012	Jul 27, 2012
PITTINGER, JAMES, WALTER	MANAGING DIRECTOR & CLASS A MEMBER	A	no	08/2001	Mar 29, 2012	Jul 27, 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
2011	Mar 29, 2012	$12B	$12B	n/a	n/a	n/a	1	$53.1M

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
2011	$12B	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Owns (6)

← CLERKIN, PETER, LYDONOwnerMANAGING DIRECTOR & CLASS A MEMBER, ownership code A, individual
Mar 29, 2012 to presentfactForm ADV
← PITTINGER, JAMES, WALTEROwnerMANAGING DIRECTOR & CLASS A MEMBER, ownership code A, individual
Mar 29, 2012 to presentfactForm ADV
← CARTER, PAUL, JEROMEOwnerCHIEF COMPLIANCE OFFICER & CLASS B MEMBER, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← GIURA, MARK, JOSEPHOwnerMANAGING DIRECTOR & CLASS A MEMBER, ownership code A, individual
Jul 27, 2012 to presentfactForm ADV
← CECIL, PHILIP, WAYNEOwnerGENERAL COUNSEL & CLASS B MEMBER, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← OSWALD, CHRISTOPHER, LEEOwnerTREASURER & CLASS B MEMBER, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV

Controls (4)

← MCDONNELL, DENNIS, JOHNOwnerCHAIRMAN & CLASS A MEMBER, ownership code C, individual
Mar 29, 2012 to presentfactForm ADV
← WOOD, EDWARD, CHARLESOwnerCHIEF OPERATING OFFCR & CLASS A MEMBER, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← MCCAREINS, JOHN, MARTINOwnerCHIEF MKTG OFFCR & CLASS A MEMBER, ownership code A, individual
Mar 29, 2012 to presentfactForm ADV
← TREICHEL, EDWARD, ALLENOwnerPRESIDENT, CEO & CLASS A MEMBER, ownership code B, individual
Mar 29, 2012 to presentfactForm ADV

Registered with (3)

← JESSICA McInnis HILLAdvisorregistration: previous registration
Nov 4, 2005 to Jan 3, 2013factForm ADV
← David Paul BjorndalAdvisorregistration: previous registration
Aug 16, 2005 to Jan 3, 2013factForm ADV
← ANDREW JAMES SCHEIRERAdvisorregistration: previous registration
Jun 7, 2007 to Jan 3, 2013factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:499dff48-b2af-9a15-5aa1-7717a2fff670
First observed: Mar 29, 2012
Last observed: Jul 27, 2012 172 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.

MCDONNELL INVESTMENT MANAGEMENT, LLC

CRD 113878

OAK BROOK, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:499dff48-b2af-9a15-5aa1-7717a2fff670

Data as of Jul 27, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:03 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

MCCAREINS, JOHN, MARTIN

CHIEF MKTG OFFCR & CLASS A MEMBER

yes

08/2001

Mar 29, 2012

Jul 27, 2012

MCDONNELL, DENNIS, JOHN

CHAIRMAN & CLASS A MEMBER

yes

08/2001

Mar 29, 2012

Jul 27, 2012

TREICHEL, EDWARD, ALLEN

PRESIDENT, CEO & CLASS A MEMBER

yes

05/2001

Mar 29, 2012

Jul 27, 2012

WOOD, EDWARD, CHARLES

CHIEF OPERATING OFFCR & CLASS A MEMBER

yes

08/2010

Mar 29, 2012

Jul 27, 2012

CARTER, PAUL, JEROME

CHIEF COMPLIANCE OFFICER & CLASS B MEMBER

07/2004

Mar 29, 2012

Jul 27, 2012

CECIL, PHILIP, WAYNE

GENERAL COUNSEL & CLASS B MEMBER

05/2008

Mar 29, 2012

Jul 27, 2012

CLERKIN, PETER, LYDON

MANAGING DIRECTOR & CLASS A MEMBER

08/2001

Mar 29, 2012

Jul 27, 2012

GIURA, MARK, JOSEPH

MANAGING DIRECTOR & CLASS A MEMBER

08/2001

Jul 27, 2012

OSWALD, CHRISTOPHER, LEE

TREASURER & CLASS B MEMBER

01/2003

Mar 29, 2012

Jul 27, 2012

PITTINGER, JAMES, WALTER

MANAGING DIRECTOR & CLASS A MEMBER

08/2001

Mar 29, 2012

Jul 27, 2012

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Mar 29, 2012

$12B

n/a

$53.1M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$12B

n/a