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Data Factory

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

GENEVA ADVISORS, LLC

CRD 121629

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:50b9adfd-72ec-c56f-8568-3dc4edbf0b29

Data as of Mar 15, 2017 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 98
Dated events: 0
On other graphs: 2
Observed: Feb 10, 2012 to Mar 15, 2017
12 observations

Across DFX

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

Private Equityidentity

Geneva Advisors, LLC

Private equity manager · shared crd

Real Estate Fundsidentity

Geneva Advisors, LLC

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: $7.9BItem 5.F on the latest filing (2017-03-15); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $7.6B
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: 101
Advisory employees: 68
Accounts: 14,090
Private funds: 5Schedule D 7.B(1)
Private fund GAV: $23.5Mgross asset value as reported per fund; never fund size
Custody, client assets: $3.4B
SEC number: 801-61890
CRD: 121629
Filings on the tape: 12
First filed: Feb 10, 2012
Latest filed: Mar 15, 2017
Organised: Limited Liability Company, Delaware

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
GENEVA ADVISORS GLOBAL EQUITY INCOME FUND, LDC	Other Private Fund	$10.4M	Mar 15, 2017	26	Oct 7, 2013	reported	021-213349

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
ANDERSON, GREGG, DOUGLAS	Principal	Na	yes	01/2015	Mar 11, 2015	Mar 15, 2017
BARASA, JAMES, ADDISON	Principal	Na	yes	01/2015	Mar 11, 2015	Mar 15, 2017
BERGIN, KATHRYN, LUCIA	Principal	Na	yes	01/2012	Feb 10, 2012	Mar 15, 2017
BRADY, MICHAEL, STEVEN	CHIEF FINANCIAL OFFICER	Na	yes	01/2014	Mar 20, 2014	Mar 15, 2017
BRIDGES, ROBERT, CAMPBELL	Principal	Na	yes	01/2003	Feb 10, 2012	Mar 15, 2017
BRIDGES, THOMAS, SHELBY	Principal	Na	yes	01/2003	Feb 10, 2012	Mar 15, 2017
BROWN, KATHERINE, M	Principal	Na	yes	01/2011	Feb 10, 2012	Mar 15, 2017
BRUNS, THOMAS, VERNON	Principal	Na	yes	01/2015	Mar 11, 2015	Mar 15, 2017
COULTON, ROBERT, J.	Principal	Na	yes	01/2016	Mar 16, 2016	Mar 15, 2017
DELANY, DANIEL, PHILIP	Principal	Na	yes	01/2013	Mar 27, 2013	Mar 15, 2017
DHAWAN, AMIT	Principal	Na	yes	01/2005	Feb 10, 2012	Mar 15, 2017
DICKES, ERIN, SCHORNACK	Principal	Na	yes	01/2012	Feb 10, 2012	Mar 15, 2017
DOBBINS, SEAN, BRADY	Principal	Na	yes	01/2014	Mar 20, 2014	Mar 15, 2017
FARRELL, JAMES, L.	Principal	Na	yes	01/2013	Mar 27, 2013	Mar 15, 2017
FREY, TINA, MARIE	Principal	Na	yes	01/2014	Mar 20, 2014	Mar 15, 2017
GENEVA HOLDING COMPANY OF CHICAGO, LLC	MANAGING MEMBER	E	yes	07/2008	Feb 10, 2012	Mar 15, 2017
GIMBEL, KENNETH, JOSEPH	Principal	Na	yes	01/2012	Feb 10, 2012	Mar 15, 2017
GOALBY, KELLY, THOMAS	Principal	Na	yes	01/2009	Feb 10, 2012	Mar 15, 2017
HERMANN, MICHELLE, MARIE	Principal	Na	yes	01/2015	Mar 11, 2015	Mar 15, 2017
HERNANDEZ, ELIEZER, J	Principal	Na	yes	01/2014	Mar 20, 2014	Mar 15, 2017
HUBER, JOHN, PATRICK	Principal	Na	yes	01/2003	Feb 10, 2012	Mar 15, 2017
JUDD, RICHARD, FRENCH	Principal	Na	yes	12/2009	Feb 10, 2012	Mar 15, 2017
KAPLAN, RICHARD, SAMUEL	Principal	Na	yes	01/2003	Feb 10, 2012	Mar 15, 2017
KLEIN, BRUCE, LAWRENCE	Principal	Na	yes	01/2009	Feb 10, 2012	Mar 15, 2017
LEWIS, CHRISTOPHER, JAMES	Principal	Na	yes	07/2008	Feb 10, 2012	Mar 15, 2017
MORTELL, MICHAEL, EDWARD	Principal	Na	yes	01/2009	Feb 10, 2012	Mar 15, 2017
MUSIAL, TIMOTHY, SCOTT	Principal	Na	yes	01/2014	Mar 20, 2014	Mar 15, 2017
NEWSOM, KURT, MICHAEL	PRINCIPAL, GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER	Na	yes	07/2011	Feb 10, 2012	Mar 15, 2017
PIERCE, DAVID	Principal	Na	yes	01/2003	Feb 10, 2012	Mar 15, 2017
RESNIK, MARK, EARL	Principal	Na	yes	02/2014	Mar 20, 2014	Mar 15, 2017
SCHERER, MATTHEW, KENNETH	Principal	Na	yes	01/2012	Feb 10, 2012	Mar 15, 2017
SCHROER, GREGORY, LEO	Principal	Na	yes	01/2012	Feb 10, 2012	Mar 15, 2017
SCOTT, GORDON, C	Principal	Na	yes	01/2014	Mar 20, 2014	Mar 15, 2017
SHEINER, RICHARD, KURT	Principal	Na	yes	01/2004	Feb 10, 2012	Mar 15, 2017
STARKOVICH, CHAD	Principal	Na	yes	01/2013	Mar 27, 2013	Mar 15, 2017
TYSON, JON, SCOT	Principal	Na	yes	01/2010	Feb 10, 2012	Mar 15, 2017

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
GENEVA HOLDINGS, LLC	n/a	n/a	n/a	N	yes	n/a
GNV ADVISORS, LLC	n/a	n/a	n/a	N	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
SAN FRANCISCO	CA	United States	n/a	no
ST. SIMONS ISLAND	Ga	United States	n/a	no
Dallas	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
2016	Mar 6, 2017	$7.9B	$7.6B	101	68	n/a	5	$23.5M
2015	Mar 16, 2016	$7.8B	$7.6B	102	69	n/a	5	$22.3M
2014	Mar 11, 2015	$7.8B	$7.5B	97	63	n/a	4	$21.1M
2013	Mar 20, 2014	$7.3B	$7.1B	93	73	n/a	4	$30.0M
2012	Mar 27, 2013	$5.7B	$5.5B	81	56	n/a	3	$25.1M
2011	Feb 10, 2012	$5.1B	$4.0B	n/a	n/a	n/a	3	$127M

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
2016	$7.9B	$7.8B	0.4%	$7.3B	2.3%	101	102	n/a	n/a

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
WHV INVESTMENTS, INC.	2	Jul 29, 2016	Jan 3, 2014	SAN FRANCISCO, CA	Team lift out	Other	28.6%
ADVOCATE ASSET MANAGEMENT, LLC	2	Dec 31, 2015	Sep 11, 2015	CHICAGO, IL	Team lift out	Other	100.0%

Relationships

showing 80 of 98

Advises (1)

→ GENEVA ADVISORS GLOBAL EQUITY INCOME FUND, LDCPrivate fundOther Private Fund, IA
Oct 7, 2013 to presentfactForm ADV

Controls (36)

← SHEINER, RICHARD, KURTOwnerPRINCIPAL, ownership code NA, individual
Feb 10, 2012 to presentfactForm ADV
← MORTELL, MICHAEL, EDWARDOwnerPRINCIPAL, ownership code NA, individual
Feb 10, 2012 to presentfactForm ADV
← KAPLAN, RICHARD, SAMUELOwnerPRINCIPAL, ownership code NA, individual
Feb 10, 2012 to presentfactForm ADV
← BRUNS, THOMAS, VERNONOwnerPRINCIPAL, ownership code NA, individual
Mar 11, 2015 to presentfactForm ADV
← SCOTT, GORDON, COwnerPRINCIPAL, ownership code NA, individual
Mar 20, 2014 to presentfactForm ADV
← KLEIN, BRUCE, LAWRENCEOwnerPRINCIPAL, ownership code NA, individual
Feb 10, 2012 to presentfactForm ADV
← GIMBEL, KENNETH, JOSEPHOwnerPRINCIPAL, ownership code NA, individual
Feb 10, 2012 to presentfactForm ADV
← JUDD, RICHARD, FRENCHOwnerPRINCIPAL, ownership code NA, individual
Feb 10, 2012 to presentfactForm ADV
← GOALBY, KELLY, THOMASOwnerPRINCIPAL, ownership code NA, individual
Feb 10, 2012 to presentfactForm ADV
← BERGIN, KATHRYN, LUCIAOwnerPRINCIPAL, ownership code NA, individual
Feb 10, 2012 to presentfactForm ADV
← BRIDGES, ROBERT, CAMPBELLOwnerPRINCIPAL, ownership code NA, individual
Feb 10, 2012 to presentfactForm ADV
← HERMANN, MICHELLE, MARIEOwnerPRINCIPAL, ownership code NA, individual
Mar 11, 2015 to presentfactForm ADV
← RESNIK, MARK, EARLOwnerPRINCIPAL, ownership code NA, individual
Mar 20, 2014 to presentfactForm ADV
← ANDERSON, GREGG, DOUGLASOwnerPRINCIPAL, ownership code NA, individual
Mar 11, 2015 to presentfactForm ADV
← DELANY, DANIEL, PHILIPOwnerPRINCIPAL, ownership code NA, individual
Mar 27, 2013 to presentfactForm ADV
← HUBER, JOHN, PATRICKOwnerPRINCIPAL, ownership code NA, individual
Feb 10, 2012 to presentfactForm ADV
← SCHROER, GREGORY, LEOOwnerPRINCIPAL, ownership code NA, individual
Feb 10, 2012 to presentfactForm ADV
← LEWIS, CHRISTOPHER, JAMESOwnerPRINCIPAL, ownership code NA, individual
Feb 10, 2012 to presentfactForm ADV
← DICKES, ERIN, SCHORNACKOwnerPRINCIPAL, ownership code NA, individual
Feb 10, 2012 to presentfactForm ADV
← SCHERER, MATTHEW, KENNETHOwnerPRINCIPAL, ownership code NA, individual
Feb 10, 2012 to presentfactForm ADV
← BROWN, KATHERINE, MOwnerPRINCIPAL, ownership code NA, individual
Feb 10, 2012 to presentfactForm ADV
← TYSON, JON, SCOTOwnerPRINCIPAL, ownership code NA, individual
Feb 10, 2012 to presentfactForm ADV
← BRIDGES, THOMAS, SHELBYOwnerPRINCIPAL, ownership code NA, individual
Feb 10, 2012 to presentfactForm ADV
← DHAWAN, AMITOwnerPRINCIPAL, ownership code NA, individual
Feb 10, 2012 to presentfactForm ADV
← PIERCE, DAVIDOwnerPRINCIPAL, ownership code NA, individual
Feb 10, 2012 to presentfactForm ADV
← BARASA, JAMES, ADDISONOwnerPRINCIPAL, ownership code NA, individual
Mar 11, 2015 to presentfactForm ADV
← DOBBINS, SEAN, BRADYOwnerPRINCIPAL, ownership code NA, individual
Mar 20, 2014 to presentfactForm ADV
← COULTON, ROBERT, J.OwnerPRINCIPAL, ownership code NA, individual
Mar 16, 2016 to presentfactForm ADV
← FARRELL, JAMES, L.OwnerPRINCIPAL, ownership code NA, individual
Mar 27, 2013 to presentfactForm ADV
← NEWSOM, KURT, MICHAELOwnerPRINCIPAL, GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Feb 10, 2012 to presentfactForm ADV
and 6 more

Registered with (43)

← CHARLENE POINDEXTER MORRISAdvisorregistration: previous registration
Jul 18, 2017 to Sep 1, 2017factForm ADV
← ALLEN HARRIS SMITHAdvisorregistration: previous registration
May 8, 2012 to Sep 1, 2017factForm ADV
← MICHAEL EDWARD MORTELLAdvisorregistration: previous registration
Nov 4, 2003 to Sep 1, 2017factForm ADV
← MARK EDWARD PAULYAdvisorregistration: previous registration
Oct 29, 2015 to Sep 1, 2017factForm ADV
← PATRICIA DAVIS DECHANTAdvisorregistration: previous registration
Sep 3, 2014 to Sep 1, 2017factForm ADV
← GORDON C SCOTTAdvisorregistration: previous registration
Oct 3, 2014 to Sep 1, 2017factForm ADV
← BRUCE LAWRENCE KLEINAdvisorregistration: previous registration
Mar 22, 2005 to Sep 1, 2017factForm ADV
← KENNETH JOSEPH GIMBELAdvisorregistration: previous registration
Jan 17, 2011 to Sep 1, 2017factForm ADV
← EDWIN JAMES HAGERTYAdvisorregistration: previous registration
May 17, 2014 to Sep 1, 2017factForm ADV
← RICHARD FRENCH JUDDAdvisorregistration: previous registration
Oct 28, 2010 to Sep 1, 2017factForm ADV
← MARK JAMES CASSELLAdvisorregistration: previous registration
Jun 14, 2012 to Sep 1, 2017factForm ADV
← KELLY THOMAS GOALBYAdvisorregistration: previous registration
Jan 24, 2003 to Sep 1, 2017factForm ADV
← ROBERT CAMPBELL BRIDGESAdvisorregistration: previous registration
Jan 24, 2003 to Sep 1, 2017factForm ADV
← KATHLEEN ANNE BIRMINGHAMAdvisorregistration: previous registration
Sep 17, 2012 to Sep 1, 2017factForm ADV
← MICHELLE MARIE HERMANNAdvisorregistration: previous registration
Feb 24, 2010 to Sep 1, 2017factForm ADV
← MARK EARL RESNIKAdvisorregistration: previous registration
Mar 17, 2014 to Sep 1, 2017factForm ADV
← GREGG DOUGLAS ANDERSONAdvisorregistration: previous registration
Nov 3, 2004 to Sep 1, 2017factForm ADV
← DANIEL PHILIP DELANYAdvisorregistration: previous registration
Dec 3, 2013 to Sep 1, 2017factForm ADV
← BRIDGID HONORA KYLEAdvisorregistration: previous registration
Oct 3, 2006 to Sep 1, 2017factForm ADV
← JOHN PATRICK HUBERAdvisorregistration: previous registration
Jan 30, 2003 to Sep 1, 2017factForm ADV
← MARGARET MILLERAdvisorregistration: previous registration
Jun 25, 2007 to Sep 1, 2017factForm ADV
← MARTIN ANDREW BROWNAdvisorregistration: previous registration
Apr 29, 2010 to Sep 1, 2017factForm ADV
← CHRISTOPHER JAMES LEWISAdvisorregistration: previous registration
Jan 7, 2016 to Sep 1, 2017factForm ADV
← ERIN SCHORNACK DICKESAdvisorregistration: previous registration
Nov 3, 2005 to Sep 1, 2017factForm ADV
← MATTHEW KENNETH SCHERERAdvisorregistration: previous registration
Jan 13, 2016 to Sep 1, 2017factForm ADV
← JON SCOT TYSONAdvisorregistration: previous registration
Mar 30, 2005 to Sep 1, 2017factForm ADV
← JOSEPH JOHN LOCKEAdvisorregistration: previous registration
Jul 15, 2016 to Sep 1, 2017factForm ADV
← STACEY LEE VELEZAdvisorregistration: previous registration
Jan 23, 2009 to Sep 1, 2017factForm ADV
← ROBERT JOHN MERKLEAdvisorregistration: previous registration
Aug 17, 2010 to Sep 1, 2017factForm ADV
← AMIT DHAWANAdvisorregistration: previous registration
Mar 22, 2005 to Sep 1, 2017factForm ADV
and 13 more

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:50b9adfd-72ec-c56f-8568-3dc4edbf0b29
First observed: Feb 10, 2012
Last observed: Mar 15, 2017 115 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.

GENEVA ADVISORS, LLC

CRD 121629

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:50b9adfd-72ec-c56f-8568-3dc4edbf0b29

Data as of Mar 15, 2017 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:02 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

GENEVA ADVISORS GLOBAL EQUITY INCOME FUND, LDC

Other Private Fund

$10.4M

Mar 15, 2017

Oct 7, 2013

reported

021-213349

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ANDERSON, GREGG, DOUGLAS

Principal

yes

01/2015

Mar 11, 2015

Mar 15, 2017

BARASA, JAMES, ADDISON

Principal

yes

01/2015

Mar 11, 2015

Mar 15, 2017

BERGIN, KATHRYN, LUCIA

Principal

yes

01/2012

Feb 10, 2012

Mar 15, 2017

BRADY, MICHAEL, STEVEN

CHIEF FINANCIAL OFFICER

yes

01/2014

Mar 20, 2014

Mar 15, 2017

BRIDGES, ROBERT, CAMPBELL

Principal

yes

01/2003

Feb 10, 2012

Mar 15, 2017

BRIDGES, THOMAS, SHELBY

Principal

yes

01/2003

Feb 10, 2012

Mar 15, 2017

BROWN, KATHERINE, M

Principal

yes

01/2011

Feb 10, 2012

Mar 15, 2017

BRUNS, THOMAS, VERNON

Principal

yes

01/2015

Mar 11, 2015

Mar 15, 2017

COULTON, ROBERT, J.

Principal

yes

01/2016

Mar 16, 2016

Mar 15, 2017

DELANY, DANIEL, PHILIP

Principal

yes

01/2013

Mar 27, 2013

Mar 15, 2017

DHAWAN, AMIT

Principal

yes

01/2005

Feb 10, 2012

Mar 15, 2017

DICKES, ERIN, SCHORNACK

Principal

yes

01/2012

Feb 10, 2012

Mar 15, 2017

DOBBINS, SEAN, BRADY

Principal

yes

01/2014

Mar 20, 2014

Mar 15, 2017

FARRELL, JAMES, L.

Principal

yes

01/2013

Mar 27, 2013

Mar 15, 2017

FREY, TINA, MARIE

Principal

yes

01/2014

Mar 20, 2014

Mar 15, 2017

GENEVA HOLDING COMPANY OF CHICAGO, LLC

MANAGING MEMBER

yes

07/2008

Feb 10, 2012

Mar 15, 2017

GIMBEL, KENNETH, JOSEPH

Principal

yes

01/2012

Feb 10, 2012

Mar 15, 2017

GOALBY, KELLY, THOMAS

Principal

yes

01/2009

Feb 10, 2012

Mar 15, 2017

HERMANN, MICHELLE, MARIE

Principal

yes

01/2015

Mar 11, 2015

Mar 15, 2017

HERNANDEZ, ELIEZER, J

Principal

yes

01/2014

Mar 20, 2014

Mar 15, 2017

HUBER, JOHN, PATRICK

Principal

yes

01/2003

Feb 10, 2012

Mar 15, 2017

JUDD, RICHARD, FRENCH

Principal

yes

12/2009

Feb 10, 2012

Mar 15, 2017

KAPLAN, RICHARD, SAMUEL

Principal

yes

01/2003

Feb 10, 2012

Mar 15, 2017

KLEIN, BRUCE, LAWRENCE

Principal

yes

01/2009

Feb 10, 2012

Mar 15, 2017

LEWIS, CHRISTOPHER, JAMES

Principal

yes

07/2008

Feb 10, 2012

Mar 15, 2017

MORTELL, MICHAEL, EDWARD

Principal

yes

01/2009

Feb 10, 2012

Mar 15, 2017

MUSIAL, TIMOTHY, SCOTT

Principal

yes

01/2014

Mar 20, 2014

Mar 15, 2017

NEWSOM, KURT, MICHAEL

PRINCIPAL, GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER

yes

07/2011

Feb 10, 2012

Mar 15, 2017

PIERCE, DAVID

Principal

yes

01/2003

Feb 10, 2012

Mar 15, 2017

RESNIK, MARK, EARL

Principal

yes

02/2014

Mar 20, 2014

Mar 15, 2017

SCHERER, MATTHEW, KENNETH

Principal

yes

01/2012

Feb 10, 2012

Mar 15, 2017

SCHROER, GREGORY, LEO

Principal

yes

01/2012

Feb 10, 2012

Mar 15, 2017

SCOTT, GORDON, C

Principal

yes

01/2014

Mar 20, 2014

Mar 15, 2017

SHEINER, RICHARD, KURT

Principal

yes

01/2004

Feb 10, 2012

Mar 15, 2017

STARKOVICH, CHAD

Principal

yes

01/2013

Mar 27, 2013

Mar 15, 2017

TYSON, JON, SCOT

Principal

yes

01/2010

Feb 10, 2012

Mar 15, 2017

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

GENEVA HOLDINGS, LLC

n/a

yes

n/a

GNV ADVISORS, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

SAN FRANCISCO

United States

n/a

ST. SIMONS ISLAND

United States

n/a

Dallas

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Mar 6, 2017

$7.9B

$7.6B

101

n/a

$23.5M

2015

Mar 16, 2016

$7.8B

$7.6B

102

n/a

$22.3M

2014

Mar 11, 2015

$7.8B

$7.5B

n/a

$21.1M

2013

Mar 20, 2014

$7.3B

$7.1B

n/a

$30.0M

2012

Mar 27, 2013

$5.7B

$5.5B

n/a

$25.1M

2011

Feb 10, 2012

$5.1B

$4.0B

n/a

$127M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

$7.9B

$7.8B

0.4%

$7.3B

2.3%

101

102

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

WHV INVESTMENTS, INC.

Jul 29, 2016

Jan 3, 2014

SAN FRANCISCO, CA

Team lift out

Other

28.6%

ADVOCATE ASSET MANAGEMENT, LLC

Dec 31, 2015

Sep 11, 2015

CHICAGO, IL

Team lift out

Other

100.0%