DFX Intelligence

K••••••••• R••••• A••••••• I••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM none

K••••••••• R••••• A••••••• I••

CRD 107226

CHICAGO, IL

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Data as of Apr 4, 2017 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 12:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 0
On other graphs: 1
Observed: Mar 29, 2012 to Apr 4, 2017
9 observations

Across DFX

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

Real Estate Fundsidentity

K••••••••• R••••• A••••••• I••

Real estate fund manager · key_crd, key_sfn_adviser, 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
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 11
Advisory employees: 7
Private funds: 6Schedule D 7.B(1)
Private fund GAV: $623M••• Locked
Custody, client assets: $10.0M

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
G•••• L•••• P••••••• G•••• T••••	Real Estate Fund	$367M	Apr 4, 2017	4	Mar 29, 2012	reported	n/a
W••••• P••• P•••• L••	Real Estate Fund	$94.3M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L••• J••••• S••••••	EXECUTIVE VICE PRESIDENT	C	yes	07/1991	Mar 29, 2012	Apr 4, 2017
S••••• J••••• S•••••	PRESIDENT/CHIEF COMPLIANCE OFFICER	D	yes	04/1991	Mar 29, 2012	Apr 4, 2017

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016	Mar 29, 2017	n/a	n/a	11	7	n/a	6	$623M
2015	Mar 25, 2016

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	n/a	n/a	n/a	n/a	n/a	11	11	n/a	n/a

Relationships

Advises (7)

→ G•••• L•••• P••••••• G•••• T••••Private fundReal Estate Fund, IA
Mar 29, 2012 to presentfactForm ADV
→ W•••••••• S••••• H•••••• C•••••• L••Private fundReal Estate Fund, IA
Mar 25, 2016 to presentfactForm ADV
→ O•••••• P••• S••••• H•••••• C••••••• L••Private fundReal Estate Fund, IA
Mar 31, 2015 to presentfactForm ADV
→ K•• H••••••• I••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 29, 2012
Last observed: Apr 4, 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.