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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

ENVESTNET RETIREMENT SOLUTIONS

ERS, INC., CRD 167052

CHICAGO, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:7a5bb239-dc16-bf55-7881-db7cb36c29e0

Data as of May 28, 2014 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:11 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Mar 1, 2013 to May 28, 2014
9 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: $235MItem 5.F on the latest filing (2014-05-28); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $97.6M
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: 4
Advisory employees: 2
Accounts: 23
SEC number: 801-77722
CRD: 167052
Filings on the tape: 9
First filed: Mar 1, 2013
Latest filed: May 28, 2014
Organised: Corporation, Delaware

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
BERGMAN, JUDSON, T	CHAIRMAN, CEO AND DIRECTOR	Na	yes	02/2013	Mar 1, 2013	May 28, 2014
ENVESTNET, INC.	Shareholder	E	yes	02/2013	Mar 1, 2013	May 28, 2014
DEVOE, DEBRA, JANE	SVP, CHIEF COMPLIANCE OFFICER	Na	no	01/2014	Jan 28, 2014	May 28, 2014

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
ENVESTNET ASSET MANAGEMENT, INC.	n/a	Independent wealth	$615B	N	yes	n/a
ENVESTNET PORTFOLIO SOLUTIONS, INC.	n/a	Independent wealth	$17B	N	yes	n/a
ENVESTNET RETIREMENT SOLUTIONS, LLC	n/a	Institutional manager	$16B	N	yes	n/a
PORTFOLIO BROKERAGE SERVICES, INC.	n/a	n/a	n/a	N	yes	n/a
PORTFOLIO MANAGEMENT CONSULTANTS, INC.	n/a	Former SEC adviser	n/a	N	yes	n/a

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
2013	Apr 1, 2014	$235M	$97.6M	4	2	n/a	n/a	n/a

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
2013	$235M	n/a	n/a	n/a	n/a	4	n/a	n/a	n/a

Relationships

Affiliated with (4)

→ PORTFOLIO MANAGEMENT CONSULTANTS, INC.Registered adviserother investment adviser, common control
factForm ADV
→ ENVESTNET PORTFOLIO SOLUTIONS, INC.Registered adviserother investment adviser, common control
factForm ADV
→ ENVESTNET PMCRegistered adviserother investment adviser, common control
factForm ADV
→ ENVESTNET RETIREMENT SOLUTIONS, LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (2)

← BERGMAN, JUDSON, TOwnerCHAIRMAN, CEO AND DIRECTOR, ownership code NA, individual
Mar 1, 2013 to presentfactForm ADV
← ENVESTNET, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 1, 2013 to presentfactForm ADV

Owns (1)

← DEVOE, DEBRA, JANEOwnerSVP, CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 28, 2014 to presentfactForm ADV

Dated events

Occurred
Mar 1, 2013
First Form ADV filing
Ers, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7a5bb239-dc16-bf55-7881-db7cb36c29e0
First observed: Mar 1, 2013
Last observed: May 28, 2014 149 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.

ENVESTNET RETIREMENT SOLUTIONS

ERS, INC., CRD 167052

CHICAGO, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:7a5bb239-dc16-bf55-7881-db7cb36c29e0

Data as of May 28, 2014 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:11 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BERGMAN, JUDSON, T

CHAIRMAN, CEO AND DIRECTOR

yes

02/2013

Mar 1, 2013

May 28, 2014

ENVESTNET, INC.

Shareholder

yes

02/2013

Mar 1, 2013

May 28, 2014

DEVOE, DEBRA, JANE

SVP, CHIEF COMPLIANCE OFFICER

01/2014

Jan 28, 2014

May 28, 2014

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

ENVESTNET ASSET MANAGEMENT, INC.

n/a

Independent wealth

$615B

yes

n/a

ENVESTNET PORTFOLIO SOLUTIONS, INC.

n/a

Independent wealth

$17B

yes

n/a

ENVESTNET RETIREMENT SOLUTIONS, LLC

n/a

Institutional manager

$16B

yes

n/a

PORTFOLIO BROKERAGE SERVICES, INC.

n/a

yes

n/a

PORTFOLIO MANAGEMENT CONSULTANTS, INC.

n/a

Former SEC adviser

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2013

Apr 1, 2014

$235M

$97.6M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2013

$235M

n/a