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

PEREGRINE DIVERSIFIED INVESTMENT SERVICES CORP.

CRD 155820

CHICAGO, 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:4a2d93d8-0ff4-3b0d-9fd9-58a44664ef70

Data as of May 8, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:42 AM UTC and rebuilt at most every 15 minutes.

Relationships: 22
Dated events: 0
On other graphs: 0
Observed: Feb 17, 2012 to May 8, 2012
4 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: $220MItem 5.F on the latest filing (2012-05-08); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $190M
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: 1,526
SEC number: 801-72025
CRD: 155820
Filings on the tape: 4
First filed: Feb 17, 2012
Latest filed: May 8, 2012
Organised: Corporation, Illinois

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
ASLIN, NEIL, JACKSON	CHAIRMAN/DIRECTOR	Na	yes	05/2011	Feb 17, 2012	May 8, 2012
LISHCHYNSKY, MARK, JOHN	PRESIDENT AND COO	Na	yes	03/2011	Feb 17, 2012	May 8, 2012
PEREGRINE FINANCIAL GROUP, INC.	Corporation	E	yes	11/2010	Feb 17, 2012	May 8, 2012
TANDARIC, RITA	CHIEF COMPLIANCE OFFICER	Na	yes	11/2010	Feb 17, 2012	May 8, 2012
WASENDORF, RUSSELL, R	Director	Na	yes	05/2011	Feb 17, 2012	May 8, 2012
WASENDORF, RUSSELL, RALPH	Director	E	yes	05/2011	Feb 17, 2012	May 8, 2012
WASENDORF, RUSSELL, RALPH	Owner	E	yes	09/1992	Feb 17, 2012	May 8, 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
BEST DIRECT SECURITIES, LLC	n/a	n/a	n/a	N	yes	n/a
CHIFX, LLC	n/a	n/a	n/a	N	yes	n/a
PEREGRINE ASSET MANAGEMENT, INC.	n/a	n/a	n/a	N	yes	n/a
PEREGRINE CAPITAL ADVISORS, INC	n/a	Former SEC adviser	n/a	N	yes	n/a
PEREGRINE FINANCIAL GROUP CANADA, INC.	n/a	n/a	n/a	N	yes	n/a
PEREGRINE FINANCIAL GROUP, INC.	n/a	n/a	n/a	Y	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Olathe	Ks	United States	n/a	no
Fayetteville	Nc	United States	n/a	no
Wayne	Pa	United States	n/a	no
Plano	TX	United States	n/a	no
Terrell	TX	United States	n/a	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
2011	Mar 30, 2012	$220M	$190M	n/a	n/a	n/a	n/a	n/a

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	$220M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Affiliated with (2)

→ PEREGRINE CAPITAL ADVISORS, INCRegistered adviserother investment adviser, common control
factForm ADV
← PEREGRINE CAPITAL ADVISORS, INCRegistered adviserother investment adviser, common control
factForm ADV

Controls (6)

← WASENDORF, RUSSELL, ROwnerDIRECTOR, ownership code NA, individual
Feb 17, 2012 to presentfactForm ADV
← WASENDORF, RUSSELL, RALPHOwnerOWNER, ownership code E, individual
Feb 17, 2012 to presentfactForm ADV
← LISHCHYNSKY, MARK, JOHNOwnerPRESIDENT AND COO, ownership code NA, individual
Feb 17, 2012 to presentfactForm ADV
← ASLIN, NEIL, JACKSONOwnerCHAIRMAN/DIRECTOR, ownership code NA, individual
Feb 17, 2012 to presentfactForm ADV
← PEREGRINE FINANCIAL GROUP, INC.OwnerCORPORATION, ownership code E, domestic entity
Feb 17, 2012 to presentfactForm ADV
← TANDARIC, RITAOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Feb 17, 2012 to presentfactForm ADV

Registered with (13)

← TIMOTHY THOMAS BODNARAdvisorregistration: previous registration
Feb 16, 2011 to Sep 12, 2012factForm ADV
← GUY JAMES ABBANATAdvisorregistration: previous registration
May 2, 2011 to Jul 20, 2012factForm ADV
← DAVID PETER PANKIWAdvisorregistration: previous registration
May 2, 2011 to Jul 20, 2012factForm ADV
← JOHN GABRIEL TALCOTT SLATERAdvisorregistration: previous registration
May 2, 2011 to Jul 20, 2012factForm ADV
← MICHAEL COLIN CHANDLERAdvisorregistration: previous registration
Aug 31, 2011 to Jul 20, 2012factForm ADV
← SCOTT ALAN STOCKTONAdvisorregistration: previous registration
May 2, 2011 to Jul 20, 2012factForm ADV
← JEFFREY ROBERT WOLFAdvisorregistration: previous registration
May 2, 2011 to Jul 20, 2012factForm ADV
← EDMUND OUANO CORDEROAdvisorregistration: previous registration
Mar 21, 2011 to Jul 20, 2012factForm ADV
← JASON ALAN DALLMANNAdvisorregistration: previous registration
Jan 9, 2012 to Jul 20, 2012factForm ADV
← MOUSUMI MUKHERJEEAdvisorregistration: previous registration
May 4, 2011 to Jul 20, 2012factForm ADV
← ERIK LLOYD WYSEAdvisorregistration: previous registration
May 2, 2011 to Jul 12, 2012factForm ADV
← MATTHEW LEE LOVETTAdvisorregistration: previous registration
Jul 9, 2012 to Jul 12, 2012factForm ADV
← HOWARD THE CHENAdvisorregistration: previous registration
May 2, 2011 to Jul 12, 2012factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4a2d93d8-0ff4-3b0d-9fd9-58a44664ef70
First observed: Feb 17, 2012
Last observed: May 8, 2012 174 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.

PEREGRINE DIVERSIFIED INVESTMENT SERVICES CORP.

CRD 155820

CHICAGO, 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:4a2d93d8-0ff4-3b0d-9fd9-58a44664ef70

Data as of May 8, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:42 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ASLIN, NEIL, JACKSON

CHAIRMAN/DIRECTOR

yes

05/2011

Feb 17, 2012

May 8, 2012

LISHCHYNSKY, MARK, JOHN

PRESIDENT AND COO

yes

03/2011

Feb 17, 2012

May 8, 2012

PEREGRINE FINANCIAL GROUP, INC.

Corporation

yes

11/2010

Feb 17, 2012

May 8, 2012

TANDARIC, RITA

CHIEF COMPLIANCE OFFICER

yes

11/2010

Feb 17, 2012

May 8, 2012

WASENDORF, RUSSELL, R

Director

yes

05/2011

Feb 17, 2012

May 8, 2012

WASENDORF, RUSSELL, RALPH

Director

yes

05/2011

Feb 17, 2012

May 8, 2012

WASENDORF, RUSSELL, RALPH

Owner

yes

09/1992

Feb 17, 2012

May 8, 2012

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

BEST DIRECT SECURITIES, LLC

n/a

yes

n/a

CHIFX, LLC

n/a

yes

n/a

PEREGRINE ASSET MANAGEMENT, INC.

n/a

yes

n/a

PEREGRINE CAPITAL ADVISORS, INC

n/a

Former SEC adviser

n/a

yes

n/a

PEREGRINE FINANCIAL GROUP CANADA, INC.

n/a

yes

n/a

PEREGRINE FINANCIAL GROUP, INC.

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Olathe

United States

n/a

Fayetteville

United States

n/a

Wayne

United States

n/a

Plano

United States

n/a

Terrell

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Mar 30, 2012

$220M

$190M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$220M

n/a