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CRD 288566
CHICAGO, IL
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
Dated 2026-09-03 (filing); first seen by DFX 2026-09-15.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| W•••••• M••• B••••••• | Chartered Financial Analyst | CHICAGO, IL | 8 | 28 | 2 | no |
| C••••••••• J••• D•••••• | Chartered Financial Analyst | CHICAGO, IL | 8 | 20 |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| A••••• C•• F•••• L•• | Hedge Fund | $1.3B | Aug 13, 2026 | 161 | Mar 22, 2016 | reported | 021-151707 |
| C••• G••••• S••••••••• L••• | Hedge Fund | $986M | Aug 13, 2026 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| A••••• J•••• A••• | CHIEF INVESTMENT OFFICER & FOUNDING PARTNER | Na | yes | 03/2018 | Sep 20, 2018 | Nov 27, 2024 |
| B•••••• E•••• D•••• | BOARD OF D•••••ORS | Na | yes | 12/2023 | Jun 4, 2017 | Nov 27, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| C•••••• P••••••• L•• | n/a | Asset manager | $2.8B | N | yes | n/a |
| F•••••••• P•••••••• L•• | n/a | Asset manager | $767M | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Minnetonka | Mn | United States | 23 | no |
| Atlanta | Ga | United States | 19 | no |
| Charlotte | Nc | United States | 15 | no |
| Tulsa | Ok | United States | 15 | no |
| Dallas | TX | United States |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 36 | 3 | 33 | 1.4% | 19 | 0 | 0 | 68 | 26 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $79B | $62B | 27.3% | $25B | 47.5% | 496 | 468 | 24 | 31 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| U•• F•••••••• S••••••• I••• | 3 | Feb 18, 2025 | Feb 19, 2025 | DENVER, CO | Team lift out | RIA to wirehouse | 1.8% |
| I••••••••• A••••••• N•••••• L•• | 3 | Jun 8, 2020 | Jun 5, 2020 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| U•• F•••••••• S••••••• I••• | 11 | Sep 3, 2026 | Sep 8, 2026 | BOCA RATON, FL | Team lift out | Wirehouse to RIA | 0.1% |
| A••••••••• L••• | 2 | Nov 7, 2025 | Nov 19, 2025 |
Between 2026-06-25 and 2026-09-23, 6 lift-out teams (31 people) moved from a wirehouse to a registered investment adviser, out of 480 lift-out teams of every kind (1,371 people). Destinations: &Partners 18 people in 4 teams from W•••• F•••• A•••••••; C•••••• A•••• M••••••••• L•• 11 people in 1 team from U•• F•••••••• S••••••• I•••; C••••••••• I••••••••• A•••••••• L•• 2 people in 1 team from M••••• S••••••. Sources: W•••• F•••• A••••••• 18, U•• F•••••••• S••••••• I••• 11, M••••• S•••••• 2.
| no |
| M•••••• J•• T•••• | Certified Financial Planner|Chartered Financial Analyst | CHICAGO, IL | 8 | 24 | 2 | no |
| W•••• J•••• D•••••••• | Chartered Financial Analyst | CHICAGO, IL | 8 | 22 | 3 | no |
| K••••••• N•••• D••••• | n/a | CHICAGO, IL | 8 | 13 | n/a | no |
| J••• A••• A•••• | Chartered Financial Analyst | WEST PALM BEACH, FL | CHICAGO, IL | 8 | 25 | n/a | no |
| Z•••••• H••••••• B•••••• | n/a | CHICAGO, IL | 8 | 14 | 2 | no |
| P•••••• C• B••••••• | n/a | CHICAGO, IL | 8 | 13 | n/a | no |
| R••••• B• D••••• | n/a | West Palm Beach, FL | CHICAGO, IL | 8 | 16 | 1 | no |
| J••• T••••• S••••••• | Chartered Financial Analyst | CHICAGO, IL | 7 | 24 | 1 | no |
| N••••• S•••••••• | Certified Financial Planner|Chartered Financial Analyst | CHICAGO, IL | H••••••, TX | 7 | 33 | 2 | no |
| D•••• D• J•••••• | n/a | CHICAGO, IL | 7 | 25 | 1 | no |
| S••••• A••••• L•• | Certified Financial Planner | San Francisco, CA | CHICAGO, IL | 7 | 14 | 1 | no |
| R•••••• T••••• H••• | n/a | CHICAGO, IL | Minnetonka, MN | 7 | 16 | n/a | no |
| J•••• P••••••••• H•••••• | n/a | Minnetonka, MN | CHICAGO, IL | 7 | 26 | n/a | no |
| B•••• T••••• G•••• | n/a | CHICAGO, IL | 7 | 14 | 1 | no |
| L•••••• V••••••••• | n/a | CHICAGO, IL | WEST PALM BEACH, FL | 6 | 18 | n/a | no |
| B••••• L•• H••• S•••• | Chartered Financial Analyst | San Francisco, CA | CHICAGO, IL | 6 | 12 | n/a | no |
| M•••••• D•••• P••••••• | n/a | CHICAGO, IL | 6 | 15 | n/a | no |
| P•••••• D•••• D••••• | Certified Financial Planner | CHICAGO, IL | 6 | 16 | n/a | no |
| S•••• W•••••• H••••• | n/a | Minnetonka, MN | CHICAGO, IL | 6 | 11 | n/a | no |
| M•••••• A••••• M••• | Chartered Financial Analyst | CHICAGO, IL | Atlanta, GA | 6 | 23 | 1 | no |
| S•••• S•••• | n/a | San Francisc, CA | Islip, NY | CHICAGO, IL | 6 | 12 | 1 | no |
| E•••••••• B•••••• L•••••• | Chartered Financial Analyst | Atlanta, GA | CHICAGO, IL | 6 | 15 | n/a | no |
| D•••• W•••••• K••• | n/a | CHICAGO, IL | Reston, VA | 6 | 31 | 3 | no |
| 44 |
| Mar 30, 2012 |
| reported |
| 021-165551 |
| C••• V•••• F•••• L••• | Hedge Fund | $317M | Aug 13, 2026 | 52 | Mar 30, 2012 | reported | 021-165555 |
| M••••••• G••••• E••••• F•••• L•• | Hedge Fund | $298M | Aug 13, 2026 | 118 | Mar 28, 2012 | reported | 021-198543 |
| C••• D••••• I••••••••• L••• | Other Private Fund | $262M | Aug 13, 2026 | 160 | Oct 8, 2013 | reported | 021-202998 |
| A••••• C•• F••• I•• L•• | Hedge Fund | $211M | Aug 13, 2026 | 90 | Mar 31, 2017 | reported | 021-256623 |
| C•••••• H••• Y•••• M•••••••• F•••• L•• | Other Private Fund | $152M | Aug 13, 2026 | 161 | Mar 19, 2018 | reported | 021-288264 |
| C•••• D••••• I••••••••• F••• I•• L• | Private Equity Fund | $150M | Aug 13, 2026 | 111 | Jul 26, 2021 | reported | 021-401764 |
| E•••• • O•• V••• A••••• F••• L••• | Private Equity Fund | $149M | Aug 13, 2026 | 121 | Mar 27, 2023 | reported | 021-441587 |
| C•••• O•• R••• T••• I• L•••• | Private Equity Fund | $140M | Aug 13, 2026 | 109 | Feb 22, 2022 | reported | 021-427233 |
| B•• H••••• S••••••••• F•••• L• | Hedge Fund | $132M | Aug 13, 2026 | 163 | Dec 3, 2019 | reported | 021-353086 |
| C•••••• P•••••• M••••••• L••••••••• 1• | Other Private Fund | $127M | Aug 13, 2026 | 170 | Mar 29, 2022 | reported | 021-397703 |
| E•••• • W••••• E••••• P••••••• I• A••••• F••• L••• | Other Private Fund | $120M | Aug 13, 2026 | 159 | Mar 27, 2023 | reported | 021-451670 |
| C•• P•••••• E••••• 2•••• L••• | Private Equity Fund | $110M | Aug 13, 2026 | 36 | Apr 13, 2017 | reported | 021-828481 |
| E•••• • L••• E••• C•••••• V• A••••• F••• L••• | Other Private Fund | $104M | Aug 13, 2026 | 151 | Mar 27, 2023 | reported | 021-430198 |
| C•••• D••••• I••••••••• F••• I••• L••• | Private Equity Fund | $103M | Aug 13, 2026 | 119 | Mar 29, 2024 | reported | 021-502073 |
| A••••• C•• O••••••• F••• I•• L••• | Hedge Fund | $84.3M | Aug 13, 2026 | 27 | Mar 31, 2017 | reported | 021-256624 |
| C•••• P•• ••••••• L••••• | Private Equity Fund | $78.2M | Aug 13, 2026 | 93 | Feb 21, 2023 | reported | 021-464610 |
| C•••••• P•••••• M••••••• L••••••••• 7• | Other Private Fund | $78.1M | Aug 13, 2026 | 32 | Feb 17, 2023 | reported | 021-429020 |
| E•••• • W•••• C••••• P••••••• I•• A••••• F••• L••• | Other Private Fund | $75.5M | Aug 13, 2026 | 131 | Mar 30, 2022 | reported | 021-408108 |
| C•••• P•••••• E••••• 2•••• L• | Private Equity Fund | $75.4M | Aug 13, 2026 | 70 | Jul 26, 2021 | reported | 021-400586 |
| C•• P•••••• E••••• 2•••• L••• | Private Equity Fund | $72.1M | Aug 13, 2026 | 38 | Jan 18, 2019 | reported | 021-328161 |
| C•• D••••• I••••••••• F••• I• L••• | Private Equity Fund | $63.5M | Aug 13, 2026 | 39 | Mar 30, 2018 | reported | 021-307528 |
| E•••• • W••••• E••••• P••••••• I•• A••••• F••• L••• | Other Private Fund | $59.6M | Aug 13, 2026 | 64 | Mar 30, 2022 | reported | 021-395787 |
| C•• D••••• S•••••••• F•••• L••• | Private Equity Fund | $55.6M | Aug 13, 2026 | 57 | Nov 15, 2019 | reported | 021-349970 |
| EXECUTIVE MANAGING D•••••OR, CHIEF FINANCIAL OFFICER |
| Na |
| yes |
| 10/2019 |
| Dec 19, 2019 |
| Nov 27, 2024 |
| H•••••••• S••••• C••••••• | PRESIDENT & CHIEF OPERATING OFFICER | Na | yes | 04/2024 | Aug 12, 2024 | Nov 27, 2024 |
| H•••• A•• | EXECUTIVE MANAGING D•••••OR, CHIEF COMPLIANCE OFFICER | Na | yes | 08/2024 | Sep 11, 2024 | Nov 27, 2024 |
| M•••••• J••••••• G••• | EXECUTIVE MANAGING D•••••OR, CHIEF GROWTH OFFICER | Na | yes | 01/2020 | Mar 24, 2022 | Nov 27, 2024 |
| R••••• D••••••• P•••••• | FOUNDING PARTNER & CO-CHAIRMAN | Na | yes | 01/2019 | Jun 4, 2017 | Nov 27, 2024 |
| R••••••• W••••••• A••• | EXECUTIVE MANAGING D•••••OR, CHIEF LEGAL OFFICER | Na | yes | 05/2018 | Feb 19, 2021 | Nov 27, 2024 |
| S••••• A••• H••••• | BOARD OF D•••••ORS | Na | yes | 12/2023 | Jun 4, 2017 | Nov 27, 2024 |
| A••••••• J•••• P•••• | BOARD OF D•••••ORS | Na | no | 12/2023 | Aug 12, 2024 | Nov 27, 2024 |
| C•• M••••• L•• | HOLDING COMPANY | E | no | 08/2024 | Sep 11, 2024 | Nov 27, 2024 |
| C•••••• C•••••• M••••••••• L•• | HOLDING COMPANY | E | no | 08/2024 | Sep 20, 2018 | Nov 27, 2024 |
| S•••••••• M•••• A• | BOARD OF D•••••ORS | Na | no | 12/2023 | Aug 12, 2024 | Nov 27, 2024 |
| T••••••••• P•••• E••• | BOARD OF D•••••ORS | Na | no | 12/2023 | Aug 12, 2024 | Nov 27, 2024 |
| C•••••• P•••••••• L•• |
| n/a |
| n/a |
| n/a |
| N |
| yes |
| n/a |
| C•••••• T•••• C••••••• L•• | n/a | n/a | n/a | Y | yes | n/a |
| C•••••• A•••••••• L•• | n/a | n/a | n/a | Y | no | n/a |
| T•• C••••••• O•••••• A• C•••••• C•••••• | n/a | n/a | n/a | N | yes | n/a |
| T••• C•••••• I•••••••• S•••••••• L•• | n/a | n/a | n/a | N | yes | n/a |
| V•••••••• R••• E•••••• L•• | n/a | n/a | n/a | N | yes | n/a |
| W••••• S•••• • P••••••• M••••••••• I••• L••• | n/a | n/a | n/a | N | yes | n/a |
| no |
| Reston | Va | United States | 12 | no |
| Denver | Co | United States | 11 | no |
| SAN F••••••CO | CA | United States | 9 | no |
| WEST PALM BEACH | FL | United States | 8 | no |
| MENLO PARK | CA | United States | 7 | no |
| Houston | TX | United States | 5 | no |
| Greenwich | Ct | United States | 4 | no |
| NEW YORK | NY | United States | 4 | no |
| LOS ANGELES | CA | United States | 3 | no |
| SANTA BARBARA | CA | United States | 3 | no |
| Scottsdale | Az | United States | 2 | no |
| Naples | FL | United States | 2 | no |
| Nashville | Tn | United States | 2 | no |
| Austin | TX | United States | 1 | no |
| n/a | n/a | n/a | 1 | no |
| SIOUX FALLS | Sd | United States | 0 | no |
| $79B |
| $77B |
| 496 |
| 187 |
| 24 |
| 145 |
| n/a |
| 2024 | Mar 28, 2025 | $62B | $60B | 468 | 191 | 31 | 141 | n/a |
| 2023 | Mar 27, 2024 | $44B | $43B | 402 | 133 | 20 | 16 | $91.4M |
| 2022 | Mar 31, 2023 | $25B | $23B | 364 | 127 | 14 | 19 | $110M |
| 2021 | Mar 24, 2022 | $23B | $19B | 298 | 135 | 16 | 21 | $127M |
| 2020 | Mar 26, 2021 | $12B | $12B | 146 | 69 | 8 | 21 | $146M |
| 2019 | Mar 25, 2020 | $6.5B | $6.3B | 123 | 52 | 7 | 22 | $201M |
| 2018 | Mar 15, 2019 | $3.3B | $2.7B | 98 | 33 | 7 | n/a | n/a |
| 2017 | Feb 14, 2018 | $102M | $102M | 23 | 6 | 0 | n/a | n/a |
| CHICAGO, IL |
| Team lift out |
| RIA to RIA |
| 8.1% |
| HOUSTON, TX |
| Team lift out |
| Other |
| 0.4% |
| J••• M••••• S••••••••• L•• | 2 | May 7, 2024 | Apr 19, 2024 | SAN F••••••CO, CA | Team lift out | Wirehouse to RIA | 0.0% |
| J••• M••••• S••••••••• L•• | 8 | Apr 20, 2024 | Apr 25, 2024 | SAN F••••••CO, CA | Team lift out | Wirehouse to RIA | 0.1% |
| J••• M••••• P•••••• W••••• A••••••• L•• | 3 | May 17, 2023 | May 18, 2023 | NEW YORK, NY | Team lift out | Ibd to RIA | 0.5% |
| J••• M••••• P•••••• W••••• A••••••• L•• | 6 | May 16, 2023 | May 12, 2023 | GREENWICH, CT | Team lift out | Ibd to RIA | 0.9% |
| J••• M••••• P•••••• W••••• A••••••• L•• | 11 | May 10, 2023 | Aug 4, 2025 | MENLO PARK, CA | Team lift out | Ibd to RIA | 1.7% |
| T••• C•••••• M••••••••• | 8 | May 8, 2023 | Jun 16, 2023 | SAN F••••••CO, CA | Firm absorbed | RIA to RIA | 88.9% |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | 2 | Jun 27, 2022 | Aug 12, 2022 | ATLANTA, GA | Team lift out | Wirehouse to RIA | 0.0% |
| M••••••• F••••• W••••• | 15 | Jun 2, 2022 | Jun 9, 2022 | MINNETONKA, MN | Firm absorbed | RIA to RIA | 88.2% |
| B••••• C•••••• A•••••••• L•• | 14 | Oct 19, 2021 | Oct 14, 2021 | ATLANTA, GA | Firm absorbed | RIA to RIA | 100.0% |
| P••••••••• P•••••••• L•• | 7 | Jun 16, 2020 | Jun 16, 2020 | RESTON, VA | Firm absorbed | RIA to RIA | 77.8% |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | 2 | Mar 9, 2020 | Mar 9, 2020 | DENVER, CO | Team lift out | Wirehouse to RIA | 0.0% |
| C••• H••••••• C•••••• | 2 | Nov 11, 2019 | Feb 20, 2025 | DALLAS, TX | Team lift out | Other | 15.4% |
| C•••••• W••••• A••••••• | 2 | May 17, 2019 | May 14, 2021 | SAN F••••••CO, CA | Team lift out | RIA to RIA | 100.0% |
| E••••••• A••••••• | 5 | Apr 22, 2019 | Mar 28, 2019 | SCHAUMBURG, IL | Firm absorbed | RIA to RIA | 100.0% |
| H•••••••• A•••••••• L•• | 3 | Mar 10, 2016 | Jun 30, 2020 | RESTON, VA | Team lift out | Other | 2.2% |