DFX Intelligence

P•••• A•••• M••••••••• 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

P•••• A•••• M••••••••• L••

CRD 282726

CHICAGO, IL

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Data as of Jun 8, 2020 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 3
On other graphs: 0
Observed: Jan 20, 2016 to Jun 8, 2020
19 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: $47.5M••• Locked
Discretionary RAUM: $44.6M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 9
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
P•• R••• R••••• I••••••••• F•••• L••	Hedge Fund	$18.0M	Jun 8, 2020	64	Mar 31, 2017	reported	021-136784
P•• G••••• D••••••••• F•••• L••	Hedge Fund	$3.0M	Jun 8, 2020

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•• I•••••••• F•••• L••	Member	B	yes	12/2015	Jan 20, 2016	Jun 8, 2020
K•••• A•••• R•••••	MEMBER AND ELECTED MANAGER	E	yes	12/2015	Jan 20, 2016	Jun 8, 2020

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
U•••••• I••••••••• M••••••••• L•••••	n/a	Independent wealth	$273M	N	yes	n/a
B•••••• M••••••••• C••••••• L•••••	n/a	n/a	n/a	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019	Mar 24, 2020

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$47.5M	$71.9M	-33.9%	$53.1M	-3.6%	9	9	0	0

Relationships

Affiliated with (1)

→ U•••••• I••••••••• M••••••••• L•••••Registered adviserother investment adviser, common control
factForm ADV

Advises (3)

→ P•• R••• R••••• I••••••••• F•••• L••Private fundHedge Fund, IA
Mar 31, 2017 to presentfactForm ADV
→ P•• G••••• D••••••••• F•••• L••Private fundHedge Fund, IA
Mar 31, 2017 to presentfactForm ADV
→

Dated events

Occurred
Oct 30, 2019
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 20, 2016
Succession filed (Item 4)
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 20, 2016
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 20, 2016
Last observed: Jun 8, 2020 76 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.