DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

F••••••• F•••••••• P••••••• L••

CRD 166682

CHICAGO, IL

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Search this name across graphsid dfx:ria:6ffe0f3b-d2e1-f015-0893-60e0a89d8bc9

Data as of Mar 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 31
Dated events: 9
On other graphs: 1
Observed: Apr 8, 2013 to Mar 25, 2026
28 observations

Across DFX

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

Private Creditidentity

F••••••• F•••••••• P••••••• L••

Private credit manager · shared crd

Facts

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

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=0.0
Regulatory AUM: $4.1B••• Locked
Discretionary RAUM: $4.1B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 24

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
F••••••• F•••• L••• L••• F••• V• L•	Hedge Fund	$595M	Mar 25, 2026	145	Aug 26, 2021	reported	021-1853581
F••••••• F•••• L••• L••• F••• I• L•	Hedge Fund	$273M	Mar 25, 2026

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G•••••• M••••••• M•	MANAGING DIRECTOR	Na	yes	09/2012	Apr 8, 2013	Aug 27, 2024
H••••• J•••••• S••••••	MANAGING DIRECTOR	Na	yes	09/2012	Apr 8, 2013	Aug 27, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S••••• C•••• I••••••••• M••••••••• L••	n/a	ASSET_M••••••	$1.7B	N	yes	n/a
A•••••• C•••••• P••••••• I•• L•••••	n/a	ASSET_M••••••	$528M	N	no	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Mequon	Wi	United States	5	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$4.1B	$4.0B	3.1%	$2.9B	12.6%	24	22	1	1

Relationships

Affiliated with (8)

← M••••• C•••••• P••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← C•••••••• V•••••• P•••••••Registered adviserother investment adviser
factForm ADV
← A•••••• C•••••• P••••••• I•• L•••••Registered adviserother investment adviser, common control
factForm ADV
→ M••••• C•••••• P••••••• L••Registered adviserother investment adviser, pooled vehicle sponsor, common control

Dated events

Occurred
Mar 25, 2026
Private fund f•••• reported
••• Locked
Form ADVobserved today
$33.3M
Occurred
Mar 25, 2026
Private fund gav change
••• Locked
Form ADVobserved today
$-100M
Occurred
Mar 25, 2026
Private fund gav change
••• Locked
Form ADVobserved today
$183M
Occurred
Mar 25, 2026

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6ffe0f3b-d2e1-f015-0893-60e0a89d8bc9
First observed: Apr 8, 2013
Last observed: Mar 25, 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.