DFX Intelligence

I••••••• P•••••• E••••• F••••••••• G•••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

I••••••• P•••••• E••••• F••••••••• G•••• L••

CRD 133363

CHICAGO, IL

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Search this name across graphsid dfx:ria:6647398b-8411-90af-b72d-a2918438a331

Data as of Apr 19, 2017 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:29 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 0
On other graphs: 0
Observed: Mar 15, 2012 to Apr 19, 2017
8 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: $31.3M••• Locked
Discretionary RAUM: $31.3M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 0
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L•••• I••••• C•••••	CHIEF INVESTMENT OFFICER	Na	yes	05/2004	Mar 15, 2012	Apr 19, 2017
M••••• • M••••• A•••• M•••••••••	Manager	E	yes	11/2004	Mar 15, 2012	Apr 19, 2017

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M••••• • M••••• A•••• M•••••••••	n/a	Asset manager	$1.7B	Y	yes	n/a
A•••• E•••••• G•• L••	n/a	n/a	n/a	N	yes	n/a
C••• H•••• L••

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
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	$31.3M	$72.4M	-56.8%	$108M	-33.9%	0	0	n/a	n/a

Relationships

Affiliated with (1)

→ M••••• • M••••• A•••• M•••••••••Registered adviserother investment adviser, pooled vehicle sponsor, control, common control
factForm ADV

Controls (4)

← M••••• • M••••• A•••• M•••••••••OwnerMANAGER, ownership code E, domestic entity
Mar 15, 2012 to presentfactForm ADV
← L•••• I••••• C•••••OwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Mar 15, 2012 to presentfactForm ADV
← R•••• A••••OwnerMEMBER, ownership code E, individual

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6647398b-8411-90af-b72d-a2918438a331
First observed: Mar 15, 2012
Last observed: Apr 19, 2017 114 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.