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

PRIVATE VISTA, LLC

CRD 108084

OAK BROOK, 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:80cbc42e-9a30-64ce-14d0-9f424d14a814

Data as of Jun 17, 2020 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:48 AM UTC and rebuilt at most every 15 minutes.

Relationships: 31
Dated events: 1
On other graphs: 1
Observed: Mar 8, 2012 to Jun 17, 2020
35 observations

Across DFX

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

Allocatorsidentity

Private Vista, LLC

Investment consultant · 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: $1.7BItem 5.F on the latest filing (2020-06-17); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.6B
Private client RAUM: $1.5BderivedItem 5.D individuals plus high net worth individuals
Private client share: 90%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 33
Advisory employees: 22
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 4,207
Individual clients: 435
High net worth clients: 515
Custody, client assets: $748M
SEC number: 801-56219
CRD: 108084
Filings on the tape: 35
First filed: Mar 8, 2012
Latest filed: Jun 17, 2020
Organised: Limited Liability Company, Illinois

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
Brown, Douglas, Stewart	MANAGING MEMBER	B	yes	07/2017	Jul 7, 2017	Jun 17, 2020
MERDINGER, STEVEN, IRA	MANAGING MEMBER, CHIEF COMPLIANCE OFFICER	C	yes	01/1999	Mar 8, 2012	Jun 17, 2020
TONER, JEFFREY, MICHAEL	MANAGING MEMBER	C	yes	01/1999	Mar 8, 2012	Jun 17, 2020
WEIL, JAMES, MICHAEL	MANAGING MEMBER	C	yes	01/1999	Mar 8, 2012	Jun 17, 2020
WESTRICK, ROBERT, ALFRED	MANAGING MEMBER	C	yes	07/2016	Aug 1, 2016	Jun 17, 2020

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
JOSEPH C. FELDMANN	n/a	n/a	n/a	Y	yes	n/a
MICHAEL J. MCCABE	n/a	n/a	n/a	Y	yes	n/a
ROBERT A. WESTRICK	n/a	n/a	n/a	Y	yes	n/a

Offices

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

City	State	Country	Employees	Also broker-dealer
Chicago	IL	United States	12	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
2019	Mar 28, 2020	$1.7B	$1.6B	33	22	1	n/a	n/a
2018	Mar 28, 2019	$1.5B	$1.5B	34	22	1	n/a	n/a
2017	Mar 22, 2018	$1.7B	$1.6B	36	20	2	n/a	n/a
2016	Mar 20, 2017	$1.2B	$994M	27	13	n/a	n/a	n/a
2015	Feb 25, 2016	$607M	$584M	22	10	n/a	n/a	n/a
2014	Mar 6, 2015	$701M	$683M	20	8	n/a	n/a	n/a
2013	Feb 27, 2014	$572M	$458M	20	8	n/a	n/a	n/a
2012	Mar 4, 2013	$518M	$505M	20	8	n/a	n/a	n/a
2011	Mar 8, 2012	$492M	$404M	n/a	n/a	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
2019	$1.7B	$1.5B	10.0%	$1.2B	12.1%	33	34	1	1

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
HIGHTOWER ADVISORS, LLC	13	Nov 4, 2020	Oct 30, 2020	OAK BROOK, IL	Firm absorbed	RIA to ibd	81.3%
RAYMOND JAMES FINANCIAL SERVICES, INC.	2	Nov 4, 2020	Apr 15, 2004	OAK BROOK, IL	Team lift out	Other	12.5%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
WNA WEALTH ADVISORS, INC.	3	Aug 1, 2016	Aug 2, 2016	HINSDALE, IL	Firm absorbed	Other	100.0%

Relationships

Controls (5)

← TONER, JEFFREY, MICHAELOwnerMANAGING MEMBER, ownership code C, individual
Mar 8, 2012 to presentfactForm ADV
← MERDINGER, STEVEN, IRAOwnerMANAGING MEMBER, CHIEF COMPLIANCE OFFICER, ownership code C, individual
Mar 8, 2012 to presentfactForm ADV
← WEIL, JAMES, MICHAELOwnerMANAGING MEMBER, ownership code C, individual
Mar 8, 2012 to presentfactForm ADV
← WESTRICK, ROBERT, ALFREDOwnerMANAGING MEMBER, ownership code C, individual
Aug 1, 2016 to presentfactForm ADV
← Brown, Douglas, StewartOwnerMANAGING MEMBER, ownership code B, individual
Jul 7, 2017 to presentfactForm ADV

Registered with (24)

← GREGORY PAUL WILLIAMSAdvisorregistration: previous registration
Jul 7, 2015 to Nov 6, 2020factForm ADV
← JEFFREY MICHAEL TONERAdvisorregistration: previous registration
Feb 3, 1999 to Nov 4, 2020factForm ADV
← STEVEN IRA MERDINGERAdvisorregistration: previous registration
Feb 16, 1999 to Nov 4, 2020factForm ADV
← JAMES MICHAEL WEILAdvisorregistration: previous registration
Feb 3, 1999 to Nov 4, 2020factForm ADV
← MICHAEL JOSEPH MCCABEAdvisorregistration: previous registration
Aug 2, 2016 to Nov 4, 2020factForm ADV
← MARY ELIZABETH MCLEANAdvisorregistration: previous registration
Aug 2, 2016 to Nov 4, 2020factForm ADV
← MICHAEL ROBERT MERDINGERAdvisorregistration: previous registration
Feb 3, 1999 to Nov 4, 2020factForm ADV
← NICOLE JEAN ROMITOAdvisorregistration: previous registration
May 19, 2005 to Nov 4, 2020factForm ADV
← GREGORY RONALD BOGDANAdvisorregistration: previous registration
May 21, 2015 to Nov 4, 2020factForm ADV
← STEPHANIE COLE NANNEYAdvisorregistration: previous registration
Aug 23, 2010 to Nov 4, 2020factForm ADV
← RANDY ERVEN PORZELAdvisorregistration: previous registration
Aug 23, 2010 to Nov 4, 2020factForm ADV
← MATTHEW JAMES PARENTIAdvisorregistration: previous registration
Jul 6, 2017 to Nov 4, 2020factForm ADV
← DANIEL JOSEPH ROOKERAdvisorregistration: previous registration
Mar 20, 2018 to Nov 4, 2020factForm ADV
← DELANEY MICHELLE OROZCOAdvisorregistration: previous registration
Jul 13, 2018 to Nov 4, 2020factForm ADV
← Samuel Albert AwadAdvisorregistration: previous registration
Jan 3, 2017 to Nov 4, 2020factForm ADV
← Colleen M. DwyerAdvisorregistration: previous registration
Oct 12, 2018 to Nov 4, 2020factForm ADV
← YING YING HUANGAdvisorregistration: previous registration
Aug 19, 2013 to Apr 12, 2019factForm ADV
← THOMAS EDWARD WESTRICKAdvisorregistration: previous registration
Aug 2, 2016 to Feb 26, 2019factForm ADV
← DANIEL JOSHUA HAMBURGERAdvisorregistration: previous registration
Mar 20, 2018 to Sep 21, 2018factForm ADV
← ELISSA ANN LOVELLAdvisorregistration: previous registration
Dec 4, 2009 to Jan 29, 2018factForm ADV
← DUSTIN KRIENGSAK-OBHASAdvisorregistration: previous registration
Jan 14, 2010 to Mar 24, 2011factForm ADV
← SAMUEL A. BRAUNAdvisorregistration: previous registration
Feb 3, 1999 to Jun 15, 2010factForm ADV
← ARNOLD RAYMOND KIMANAdvisorregistration: previous registration
Oct 24, 2005 to Dec 13, 2006factForm ADV
← John F. FurjanicAdvisorregistration: previous registration
Feb 3, 2000 to Oct 10, 2005factForm ADV

Moved with (2)

→ HIGHTOWER ADVISORS, LLCRegistered adviser13 advisors, firm absorbed
Nov 4, 2020 to Oct 30, 2020factForm ADV
← WNA WEALTH ADVISORS, INC.Registered adviser3 advisors, firm absorbed, same day
Aug 1, 2016 to Aug 2, 2016factForm ADV

Dated events

Occurred
Mar 22, 2018
Regulatory AUM changed
Private Vista, Llc reported RAUM $1.7B, up 42% from $1.2B (2017-09-25 to 2018-03-22)
Form ADVobserved 4 days ago
$506M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:80cbc42e-9a30-64ce-14d0-9f424d14a814
First observed: Mar 8, 2012
Last observed: Jun 17, 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.

PRIVATE VISTA, LLC

CRD 108084

OAK BROOK, 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:80cbc42e-9a30-64ce-14d0-9f424d14a814

Data as of Jun 17, 2020 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:48 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

Brown, Douglas, Stewart

MANAGING MEMBER

yes

07/2017

Jul 7, 2017

Jun 17, 2020

MERDINGER, STEVEN, IRA

MANAGING MEMBER, CHIEF COMPLIANCE OFFICER

yes

01/1999

Mar 8, 2012

Jun 17, 2020

TONER, JEFFREY, MICHAEL

MANAGING MEMBER

yes

01/1999

Mar 8, 2012

Jun 17, 2020

WEIL, JAMES, MICHAEL

MANAGING MEMBER

yes

01/1999

Mar 8, 2012

Jun 17, 2020

WESTRICK, ROBERT, ALFRED

MANAGING MEMBER

yes

07/2016

Aug 1, 2016

Jun 17, 2020

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

JOSEPH C. FELDMANN

n/a

yes

n/a

MICHAEL J. MCCABE

n/a

yes

n/a

ROBERT A. WESTRICK

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Chicago

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Mar 28, 2020

$1.7B

$1.6B

n/a

2018

Mar 28, 2019

$1.5B

n/a

2017

Mar 22, 2018

$1.7B

$1.6B

n/a

2016

Mar 20, 2017

$1.2B

$994M

n/a

2015

Feb 25, 2016

$607M

$584M

n/a

2014

Mar 6, 2015

$701M

$683M

n/a

2013

Feb 27, 2014

$572M

$458M

n/a

2012

Mar 4, 2013

$518M

$505M

n/a

2011

Mar 8, 2012

$492M

$404M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2019

$1.7B

$1.5B

10.0%

$1.2B

12.1%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

HIGHTOWER ADVISORS, LLC

Nov 4, 2020

Oct 30, 2020

OAK BROOK, IL

Firm absorbed

RIA to ibd

81.3%

RAYMOND JAMES FINANCIAL SERVICES, INC.

Nov 4, 2020

Apr 15, 2004

OAK BROOK, IL

Team lift out

Other

12.5%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

WNA WEALTH ADVISORS, INC.

Aug 1, 2016

Aug 2, 2016

HINSDALE, IL

Firm absorbed

Other

100.0%