DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

W••••••••• C••••••• L•••

CRD 155980

ROSEMONT, IL

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Search this name across graphsid dfx:ria:79486022-037d-f539-87e3-58a1c6cc7b45

Data as of May 4, 2015 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:41 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 1
Observed: Feb 14, 2012 to May 4, 2015
7 observations

Across DFX

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

Private Equityidentity

W••••••••• C••••••• L•••

Private equity manager · key crd, shared crd

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: $1.0B••• Locked
Discretionary RAUM: $1.0B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 23
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
W••••••••• C•••••• P••••••• C•••••• L•••	Private Equity Fund	$27.2M	Mar 31, 2014	65	Feb 14, 2012	reported	n/a
W••••••••• C•••••• P•••••••• L•••	Private Equity Fund	$26.3M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H•••••••• J•••• A••••••	SHAREHOLDER AND PRESIDENT	D	yes	03/1999	Feb 14, 2012	May 4, 2015
H••••• F••••••• G•	EXECUTIVE VICE PRESIDENT	Na	no	01/2010	Feb 14, 2012	May 4, 2015

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
W••••• Q••••• C•••••••• P•••••••• L•••	n/a	n/a	n/a	Y	yes	n/a
W••••••••• P••••••• I•• L•••	n/a	n/a	n/a	Y	yes	n/a
W••••••••• P••••••• I••• L•••	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
BLOOMFIELD HILLS	Mi	United States	n/a	no
Toronto	n/a	Canada	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	May 4, 2015

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2014	$1.0B	$1.1B	-6.0%	n/a	n/a	23	23	n/a	n/a

Relationships

Controls (1)

← H•••••••• J•••• A••••••OwnerSHAREHOLDER AND PRESIDENT, ownership code D, individual
Feb 14, 2012 to presentfactForm ADV

Owns (3)

← S••••• R••• E•OwnerCHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER AND SECRETARY, ownership code NA, individual
Feb 14, 2012 to presentfactForm ADV
← H••••• F••••••• G•OwnerEXECUTIVE VICE PRESIDENT, ownership code NA, individual
Feb 14, 2012 to presentfactForm ADV
← T•••••••• T••••• M•OwnerEXECUTIVE VICE PRESIDENT, ownership code NA, individual

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:79486022-037d-f539-87e3-58a1c6cc7b45
First observed: Feb 14, 2012
Last observed: May 4, 2015 138 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.