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CRD 25388
BROOKFIELD, WI
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| ACHATZ, LYNN, J | Treasurer | Na | yes | 01/2012 | Feb 13, 2012 | Aug 13, 2015 |
| HOBERT & SVOBODA ENTERPRISES, INC | Shareholder | E | yes | 08/1989 | Feb 13, 2012 | Aug 13, 2015 |
| HOBERT, LEONARD, TAGUE | DIRECTOR, CHAIRMAN, CHIEF EXECUTIVE OFFICER | D | yes | 08/1998 | Feb 13, 2012 | Aug 13, 2015 |
| HOBERT, LEONARD, TAGUE | DIRECTOR, CHAIRMAN, AND CHIEF EXECUTIVE OFFICER | Na | yes | 08/1998 | Feb 13, 2012 | Aug 13, 2015 |
| SVOBODA, WILLIAM, JOSEPH | DIRECTOR, PRESIDENT, CHIEF OPERATING OFFICER, AND CHIEF COMPLIANCE OFFICER | Na | yes | 08/1998 | Feb 13, 2012 | Aug 13, 2015 |
| SVOBODA, WILLIAM, JOSEPH | DIRECTOR, PRESIDENT, CHIEF EXECUTIVE OFFICER, SECRETARY AND DIRECTOR | D | yes | 08/1998 | Feb 13, 2012 | Aug 13, 2015 |
| PIECH, MICHELLE, JEAN | Secretary | Na | no | 05/2009 | Feb 13, 2012 | Aug 13, 2015 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2014 | Feb 6, 2015 | $113M | $112M | 7 | 5 | n/a | n/a | n/a |
| 2013 | Mar 14, 2014 | $133M | $132M | 7 | 5 | n/a | n/a | n/a |
| 2012 | Mar 18, 2013 | $148M | $148M | 8 | 5 | n/a | n/a | n/a |
| 2011 | Feb 13, 2012 | $156M | $155M | n/a | n/a | n/a | n/a | 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 | $62.1M | $133M | -53.4% | $156M | -26.4% | 6 | 7 | n/a | n/a |