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N••••• A•••• M••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered advisermixed wealth managerSEC registeredRAUM over $100B

N••••• A•••• M••••••••• L••

CRD 155584

CHICAGO, IL

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Search this name across graphsid dfx:ria:69355018-79fc-fda9-66c2-949fc1362560

Data as of Mar 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 520
Dated events: 40
On other graphs: 2
Observed: Nov 22, 2011 to Mar 24, 2026
49 observations

Across DFX

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

Private Equityidentity

N••••• A•••• M••••••••• L••

Private equity manager · shared crd

Private Creditidentity

N••••• A•••• M••••••••• L••

Private credit manager · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: mixed wealth managerderivedprivate_client_share=0.21 fund_share=0.66 institutional_share=0.09 related_bd=true related_bank=true bd_reps=46.0
Regulatory AUM: $280BItem 5.F on the latest filing (2026-03-24); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $280B
Private client RAUM: $60BderivedItem 5.D individuals plus high net worth individuals
Private client share: 21%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 255
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first; showing 25 of 255

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
F•••••••• C••••••••	n/a	CHICAGO, IL	15	33	2	yes
A••••• P••••• H•••	n/a	CHICAGO, IL	15	20

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31; showing 25 of 38

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
N••••• S••••• L••• F•••• L•	Other Private Fund	$672M	Mar 24, 2026	19	Mar 30, 2012	reported	021-163643
N••••• C•••••••• A•••••••• A•• R••••••• V•••• F•••• L•••	Hedge Fund	$584M

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
A••••••• K••••••••• K••••••	Controller	Na	yes	05/2025	Mar 24, 2026	Mar 24, 2026
C••••• S•••••• J•••	MANAGING DIRECTOR, HEAD OF LEGAL	Na	yes	03/2018	Mar 24, 2026

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
T••••••• A•••••••• L••	n/a	Former SEC adviser	$436B	N	yes	n/a
T•••••••• I••••••••• M••••••••• L••	n/a	Asset manager	$292B	N	yes

Offices

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

City	State	Country	Employees	Also broker-dealer
NEW Y•••	NY	United States	84	yes
Minneapolis	Mn	United States	50	yes
LOS ANGELES	CA	United States	33	yes
Charlotte	Nc	United States	30	yes
SAN FRANCISCO	CA

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

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
20	6	14	2.4%	5	1	0	39	39

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
2025	$280B	$260B	7.9%	$249B	4.1%	381	373	28	19

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
A••••• A•• P••••••• S•••••••	2	Jul 27, 2023	Aug 4, 2023	CHICAGO, IL	Team lift out	Other	1.0%
A••••• A•• P••••••• S•••••••	2	Jul 3, 2023

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
S•••• B•••••• A•••• M••••••••• L••	2	Dec 31, 2021	Jan 3, 2022	CHICAGO, IL	Team lift out	Other	66.7%
C••••••••• I••••••••• L••	2	Oct 7, 2020

Relationships

showing 80 of 520

Registered with (59)

← CONNOR Patrick ARCARAAdvisorregistration: current employment
Sep 1, 2026 to presentfactForm ADV
← Brandon Keith LopezAdvisorregistration: current employment
Aug 14, 2026 to presentfactForm ADV
← Justine Chin WalkerAdvisorregistration: current employment
Aug 10, 2026 to presentfactForm ADV
← Brian Steven Werkmeister

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Sep 1, 2026
A•••••• firm change
Edwin Belogorlov left N••••• A•••• M••••••••• L•• for A••••• A•• P••••••• S••••••• (registered 2026-09-04)
Form ADVobserved 7 days ago
Occurred
Apr 1, 2026
A•••••• firm change
Benjamin James Colter left N••••• A•••• M••••••••• L•• for Neuberger Berman Bd Llc (registered 2026-04-09)
Form ADVobserved 7 days ago
Occurred
Dec 17, 2025
A•••••• firm change
Corey Johnson left N••••• A•••• M••••••••• L•• for Wells Fargo Advisors (registered 2026-01-05)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:69355018-79fc-fda9-66c2-949fc1362560
First observed: Nov 22, 2011
Last observed: Mar 24, 2026 6 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.

2025	Mar 24, 2026	$280B	$280B	381	296	28	28	n/a
2024	Mar 21, 2025	$260B	$260B	373	299	19	30	n/a
2023	Mar 15, 2024	$240B	$240B	397	321	14	30	$7.4B
2022	Mar 24, 2023	$249B	$249B	421	342	14	26	$6.7B
2021	Mar 24, 2022	$298B	$298B	414	339	15	24	$7.2B
2020	Mar 15, 2021	$242B	$241B	350	284	14	24	$7.8B
2019	Mar 25, 2020	$210B	$210B	372	283	14	3	$287M
2018	Mar 22, 2019	$176B	$176B	296	229	15	2	$117M
2017	Mar 21, 2018	$174B	$174B	194	146	11	2	$155M
2016	Mar 20, 2017	$155B	$155B	190	145	n/a	2	$182M
2015	Mar 18, 2016	$141B	$141B	177	148	n/a	2	$181M
2014	Mar 16, 2015	$134B	$134B	169	149	n/a	1	$38.6M
2013	Mar 19, 2014	$116B	$116B	167	148	n/a	1	$53.3M
2012	Mar 5, 2013	$120B	$120B	160	35	n/a	1	$58.7M
2011	Mar 27, 2012	$104B	$101B	n/a	n/a	n/a	1	$67.3M