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

DAVID A. NOYES & COMPANY

CRD 205

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:5b8de835-ed02-38f9-64be-7729cfbf3005

Data as of Mar 5, 2015 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 71
Dated events: 0
On other graphs: 3
Observed: Oct 5, 2012 to Mar 5, 2015
13 observations

Across DFX

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

Venture Capitalidentity

Sanctuary Securities, Inc.

Venture manager · shared crd

Independent Sponsorsidentity

DAVID A. NOYES & COMPANY

Intermediary · shared crd

Private Equityidentity

Sanctuary Securities, Inc.

Intermediary · 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: $501MItem 5.F on the latest filing (2015-03-05); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $280M
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: 103
Advisory employees: 54
Accounts: 1,606
SEC number: 801-67588
CRD: 205
Filings on the tape: 13
First filed: Oct 5, 2012
Latest filed: Mar 5, 2015
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
BAYLEY-YOUNG, CHERYL A	Trustee	D	yes	11/2012	Jan 5, 2015	Mar 5, 2015
BAYLEY, LOWRY HINCH	CHAIRMAN OF THE BOARD	C	yes	03/1978	Oct 5, 2012	Mar 5, 2015
BAYLEY, MARK F	Trustee	D	yes	11/2012	Jan 5, 2015	Mar 5, 2015
CONENNA, DOMINIC	CHIEF FINANCIAL OFFICER	Na	yes	06/2014	Jun 25, 2014	Mar 5, 2015
CRAM, ROBERT LYNN	VP/DIRECTOR/GENERAL COUNSEL	Na	yes	02/1992	Oct 5, 2012	Mar 5, 2015
DAMER, MARK WILLIAM	CHIEF EXECUTIVE OFFICER & PRESIDENT	Na	yes	11/2013	Oct 5, 2012	Mar 5, 2015
NOYES GROUP, LLC	SOLE SHAREHOLDER	E	yes	01/2015	Mar 5, 2015	Mar 5, 2015
REYNOLDS, MATTHEW MARK	CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER	Na	yes	08/2014	Sep 22, 2014	Mar 5, 2015
THE FRANK M. BAYLEY DYNASTY TRUST U/A DATED OCTOBER 11, 2012	Director	C	yes	01/2015	Jan 5, 2015	Mar 5, 2015
WOLFRUM, SCOTT THOMAS	Director	F	yes	07/2013	Oct 17, 2013	Mar 5, 2015

Offices

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

City	State	Country	Employees	Also broker-dealer
Chicago	IL	United States	n/a	no
Elgin	IL	United States	n/a	no
OAK PARK	IL	United States	n/a	no
Skokie	IL	United States	n/a	no
Indianapolis	In	United States	n/a	no
Indianapolis	In	United States	n/a	no
n/a	n/a	n/a	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
2014	Mar 5, 2015	$501M	$280M	103	54	n/a	n/a	n/a
2013	Oct 17, 2013	$251M	$17.7M	79	53	n/a	n/a	n/a
2012	Oct 5, 2012	$134M	$9.9M	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
2014	$501M	$251M	99.5%	n/a	n/a	103	79	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
SANCTUARY ADVISORS, LLC	4	Aug 11, 2015	Aug 11, 2015	MIAMI, FL	Team lift out	Other	17.4%
SANCTUARY ADVISORS, LLC	5	Aug 11, 2015	Aug 11, 2015	CHICAGO, IL	Team lift out	Other	21.7%
SANCTUARY ADVISORS, LLC	11	Aug 11, 2015	Aug 11, 2015	INDIANAPOLIS, IN	Team lift out	Other	47.8%
MONERE WEALTH MANAGEMENT, INC.	2	Jun 2, 2015	May 22, 2015	OAK PARK, IL	Team lift out	Other	8.0%

Relationships

Affiliated with (6)

← SANCTUARY ADVISORS, LLCRegistered adviserbroker-dealer, common control
factForm ADV
← KENNEDY CAPITAL MANAGEMENTRegistered adviserbroker-dealer, common control
factForm ADV
← AZIMUT INVESTMENT ADVISORS LLCRegistered adviserbroker-dealer, common control
factForm ADV
← AZ APICE CAPITAL MANAGEMENT LLCRegistered adviserbroker-dealer, common control
factForm ADV
← AZG CAPITALRegistered adviserbroker-dealer, common control
factForm ADV
← TRUEROCK ASSET MANAGEMENT, LLCRegistered adviserbroker-dealer, common control
factForm ADV

Controls (10)

← BAYLEY, LOWRY HINCHOwnerCHAIRMAN OF THE BOARD, ownership code C, individual
Oct 5, 2012 to presentfactForm ADV
← DAMER, MARK WILLIAMOwnerCHIEF EXECUTIVE OFFICER & PRESIDENT, ownership code NA, individual
Oct 5, 2012 to presentfactForm ADV
← WOLFRUM, SCOTT THOMASOwnerDIRECTOR, ownership code F, individual
Oct 17, 2013 to presentfactForm ADV
← REYNOLDS, MATTHEW MARKOwnerCHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER, ownership code NA, individual
Sep 22, 2014 to presentfactForm ADV
← CONENNA, DOMINICOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Jun 25, 2014 to presentfactForm ADV
← CRAM, ROBERT LYNNOwnerVP/DIRECTOR/GENERAL COUNSEL, ownership code NA, individual
Oct 5, 2012 to presentfactForm ADV
← BAYLEY, MARK FOwnerTRUSTEE, ownership code D, individual
Jan 5, 2015 to presentfactForm ADV
← BAYLEY-YOUNG, CHERYL AOwnerTRUSTEE, ownership code D, individual
Jan 5, 2015 to presentfactForm ADV
← NOYES GROUP, LLCOwnerSOLE SHAREHOLDER, ownership code E, domestic entity
Mar 5, 2015 to presentfactForm ADV
← THE FRANK M. BAYLEY DYNASTY TRUST U/A DATED OCTOBER 11, 2012OwnerDIRECTOR, ownership code C, domestic entity
Jan 5, 2015 to presentfactForm ADV

Moved with (2)

→ SANCTUARY ADVISORS, LLCRegistered adviser4 advisors, team lift out, same day
Aug 11, 2015 to Aug 11, 2015factForm ADV
→ MONERE WEALTH MANAGEMENT, INC.Registered adviser2 advisors, team lift out, same day
Jun 2, 2015 to May 22, 2015factForm ADV

Registered with (51)

← Frank Henry BechererAdvisorregistration: previous registration
Jul 2, 2009 to Aug 11, 2015factForm ADV
← MARK WILLIAM KARSTROMAdvisorregistration: previous registration
Aug 15, 2014 to Aug 11, 2015factForm ADV
← David A. JaicomoAdvisorregistration: previous registration
Apr 21, 2014 to Aug 11, 2015factForm ADV
← EDWARD GEORGE MURPHYAdvisorregistration: previous registration
Jul 12, 2000 to Aug 11, 2015factForm ADV
← SCOTT JAY KESSLERAdvisorregistration: previous registration
Feb 25, 2013 to Aug 11, 2015factForm ADV
← MARK WILLIAM DAMERAdvisorregistration: previous registration
May 11, 2007 to Aug 11, 2015factForm ADV
← Donald Christopher SchultheisAdvisorregistration: previous registration
Apr 6, 2015 to Aug 11, 2015factForm ADV
← ROBERT THEODORE RUNNFELDTAdvisorregistration: previous registration
May 8, 2009 to Aug 11, 2015factForm ADV
← BRUCE ERIC ELDERAdvisorregistration: previous registration
Jan 20, 2010 to Aug 11, 2015factForm ADV
← Denise Halford HolderAdvisorregistration: previous registration
Apr 16, 2008 to Aug 11, 2015factForm ADV
← Joseph Randall WesleyAdvisorregistration: previous registration
Feb 20, 2014 to Aug 11, 2015factForm ADV
← ELIZABETH ANN CORRELLAdvisorregistration: previous registration
Jul 24, 2008 to Aug 11, 2015factForm ADV
← JAMES PATRICK LYNCHAdvisorregistration: previous registration
Jan 8, 2014 to Aug 11, 2015factForm ADV
← Donald Edgar BatesAdvisorregistration: previous registration
Jul 2, 2014 to Aug 11, 2015factForm ADV
← James Royal KirchnerAdvisorregistration: previous registration
Aug 14, 2014 to Aug 11, 2015factForm ADV
← JENNIFER EILEEN ERVINAdvisorregistration: previous registration
Aug 22, 2011 to Aug 11, 2015factForm ADV
← VALERIE KAY BRENNANAdvisorregistration: previous registration
Nov 4, 2014 to Aug 11, 2015factForm ADV
← Matthew Mark ReynoldsAdvisorregistration: previous registration
Aug 29, 2014 to Aug 11, 2015factForm ADV
← BRIAN CHRISTOPHER DOAKAdvisorregistration: previous registration
Mar 20, 2009 to Aug 11, 2015factForm ADV
← Elias SanchezAdvisorregistration: previous registration
Apr 24, 2012 to Aug 11, 2015factForm ADV
← AMANDA JONELL WOLFRUMAdvisorregistration: previous registration
May 24, 2013 to Aug 11, 2015factForm ADV
← STEVEN ANTHONY QUIRINIAdvisorregistration: previous registration
Jul 6, 2009 to Aug 11, 2015factForm ADV
← MARTINA LESHAY BECKFORDAdvisorregistration: previous registration
Mar 10, 2014 to Aug 11, 2015factForm ADV
← MICHAEL FRANCIS BURKEAdvisorregistration: previous registration
Aug 18, 2008 to Jun 2, 2015factForm ADV
← THOMAS ALLEN BONOAdvisorregistration: previous registration
Apr 11, 2005 to Jun 2, 2015factForm ADV
← PETER ROSS VICKAdvisorregistration: previous registration
May 1, 2007 to Apr 30, 2015factForm ADV
← GREGORY ARTHUR REICHOLDAdvisorregistration: previous registration
Jun 3, 2009 to Nov 25, 2014factForm ADV
← KARI S BRAGGSAdvisorregistration: previous registration
Oct 20, 2011 to Sep 10, 2014factForm ADV
← ANDREW J. WYKRETOWICZAdvisorregistration: previous registration
Nov 9, 2007 to Jun 12, 2014factForm ADV
← MICHAEL C KESSELAdvisorregistration: previous registration
Sep 21, 2010 to Feb 6, 2014factForm ADV
and 21 more

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5b8de835-ed02-38f9-64be-7729cfbf3005
First observed: Oct 5, 2012
Last observed: Mar 5, 2015 140 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.

DAVID A. NOYES & COMPANY

CRD 205

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:5b8de835-ed02-38f9-64be-7729cfbf3005

Data as of Mar 5, 2015 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:19 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BAYLEY-YOUNG, CHERYL A

Trustee

yes

11/2012

Jan 5, 2015

Mar 5, 2015

BAYLEY, LOWRY HINCH

CHAIRMAN OF THE BOARD

yes

03/1978

Oct 5, 2012

Mar 5, 2015

BAYLEY, MARK F

Trustee

yes

11/2012

Jan 5, 2015

Mar 5, 2015

CONENNA, DOMINIC

CHIEF FINANCIAL OFFICER

yes

06/2014

Jun 25, 2014

Mar 5, 2015

CRAM, ROBERT LYNN

VP/DIRECTOR/GENERAL COUNSEL

yes

02/1992

Oct 5, 2012

Mar 5, 2015

DAMER, MARK WILLIAM

CHIEF EXECUTIVE OFFICER & PRESIDENT

yes

11/2013

Oct 5, 2012

Mar 5, 2015

NOYES GROUP, LLC

SOLE SHAREHOLDER

yes

01/2015

Mar 5, 2015

REYNOLDS, MATTHEW MARK

CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER

yes

08/2014

Sep 22, 2014

Mar 5, 2015

THE FRANK M. BAYLEY DYNASTY TRUST U/A DATED OCTOBER 11, 2012

Director

yes

01/2015

Jan 5, 2015

Mar 5, 2015

WOLFRUM, SCOTT THOMAS

Director

yes

07/2013

Oct 17, 2013

Mar 5, 2015

City

State

Country

Employees

Also broker-dealer

Chicago

United States

n/a

Elgin

United States

n/a

OAK PARK

United States

n/a

Skokie

United States

n/a

Indianapolis

United States

n/a

Indianapolis

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2014

Mar 5, 2015

$501M

$280M

103

n/a

2013

Oct 17, 2013

$251M

$17.7M

n/a

2012

Oct 5, 2012

$134M

$9.9M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2014

$501M

$251M

99.5%

n/a

103

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

SANCTUARY ADVISORS, LLC

Aug 11, 2015

MIAMI, FL

Team lift out

Other

17.4%

SANCTUARY ADVISORS, LLC

Aug 11, 2015

CHICAGO, IL

Team lift out

Other

21.7%

SANCTUARY ADVISORS, LLC

Aug 11, 2015

INDIANAPOLIS, IN

Team lift out

Other

47.8%

MONERE WEALTH MANAGEMENT, INC.

Jun 2, 2015

May 22, 2015

OAK PARK, IL

Team lift out

Other

8.0%