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C•••••• 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 100m 1b

C•••••• A•••• M••••••••• L••

CRD 170314

CHICAGO, IL

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Search this name across graphsid dfx:ria:714f1f6c-08a5-a2f9-17b1-84d5a721c413

Data as of Apr 24, 2017 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Mar 31, 2014 to Apr 24, 2017
30 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: $141MItem 5.F on the latest filing (2017-04-24); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $141M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

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
C••••••• J•••• F••••••	CEO CCO MANAGING DIRECTOR	Na	yes	02/2014	Mar 31, 2014	Apr 24, 2017
M• F•••••••• B•••• N•••	Shareholder	E	yes	12/2015	Jan 14, 2016

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
M••••••••• I••••••••• A••••••• L••	n/a	Other adviser	$5.9B	N	yes	n/a
C•••• H••• A••••••••• L••	n/a	Former SEC adviser	$211M	N	yes

Offices

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

City	State	Country	Employees	Also broker-dealer
STURGEON BAY	Wi	United States	n/a	no

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

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
2016	$141M	$113M	25.1%	n/a	n/a	8	8	n/a	n/a

Relationships

Affiliated with (2)

→ M••••••••• ADVISORSRegistered adviserother investment adviser, common control
factForm ADV
→ C•••• H••• A••••••••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV

Controls (5)

← Z••••••• T•••• C••••••OwnerCFO MANAGING DIRECTOR, ownership code NA, individual
Mar 31, 2014 to presentfactForm ADV
← C••••••• J•••• F••••••Owner

Dated events

Occurred
Mar 31, 2014
First Form ADV filing
C•••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:714f1f6c-08a5-a2f9-17b1-84d5a721c413
First observed: Mar 31, 2014
Last observed: Apr 24, 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.