DFX Intelligence

L•• F•••• M••••••••• L•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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

L•• F•••• M••••••••• L•••

CRD 164799

CHICAGO, IL

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Search this name across graphsid dfx:ria:513002f1-00ba-06c5-81ae-32130711c9b1

Data as of Mar 17, 2017 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jul 26, 2012 to Mar 17, 2017
7 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: $383M••• Locked
Discretionary RAUM: $383M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 18
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••••• A•••••	CHIEF RISK OFFICER	Na	yes	06/2012	Mar 28, 2013	Mar 17, 2017
C••••• A••••••	FOUNDER & CHAIRMAN	E	yes	06/2012	Jul 26, 2012	Mar 17, 2017

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
L•• P•••••••• L•••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016	Mar 17, 2017

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$383M	$145M	163.9%	$59.6M	85.9%	18	16	n/a	n/a

Relationships

Controls (6)

← K••••••• J••••••• W••••OwnerDIRECTOR, ownership code NA, individual
Jul 26, 2012 to presentfactForm ADV
← C••••• A••••••OwnerFOUNDER & CHAIRMAN, ownership code E, individual
Jul 26, 2012 to presentfactForm ADV
← P••••••••• A••••OwnerDIRECTOR OF TRADING, ownership code NA, individual
Jul 26, 2012 to presentfactForm ADV
← M••••••• K••••••OwnerVICE PRESIDENT & CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 24, 2016 to presentfact

Dated events

Occurred
Jul 26, 2012
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:513002f1-00ba-06c5-81ae-32130711c9b1
First observed: Jul 26, 2012
Last observed: Mar 17, 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.