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CRD 123842
GLENVIEW, IL
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| S•••••• A••••••••• | n/a | GLENVIEW, IL | 20 | 21 | n/a | no |
| G••••• B••••• | n/a | FT. MYERS, FL | 20 | 53 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| A••••••••• S•••••• | SECRETARY / TREASURER | Na | yes | 10/2007 | Nov 8, 2011 | Dec 19, 2024 |
| B••••• 2••• D•••••• T•••• | Shareholder | C | yes | 12/2012 | Jun 25, 2018 | Dec 19, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| R•••• S••••••••• I••• | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| FARMINGTON HILLS | Mi | United States | 4 | yes |
| FT. MYERS | FL | United States | 2 | yes |
| BONITA SPRINGS | FL | United States | 1 | yes |
| Orlando | FL | United States | 1 | yes |
| Manasquan | Nj | United States |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 1 | 0 | 1 | 0.0% | 0 | 0 | 0 | 2 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $121M | $114M | 7.0% | $92.4M | 9.5% | 25 | 24 | 12 | 11 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | 4 | Mar 2, 2021 | Jan 28, 2021 | GLENVIEW, IL | Team lift out | RIA to ibd | 14.3% |
| L•• F•••••••• L•• | 2 | Mar 2, 2021 | Feb 1, 2021 |
| yes |
| R••••• P••• G•••• | n/a | GLENVIEW, IL | 19 | 26 | n/a | yes |
| S••••• M•••• S•••• | n/a | LITTLE ROCK, AR | GLENVIEW, IL | 19 | 43 | 2 | yes |
| D•••• G••••• G••••• | n/a | GLENVIEW, IL | 16 | 28 | n/a | yes |
| J••• R•••• | n/a | S••••SDALE, AZ | GLENVIEW, IL | 16 | 44 | 2 | yes |
| J•••• W•••• L••••• | n/a | BR•••, TX | 14 | 42 | 2 | yes |
| M•••••• P• C••••••••• | n/a | Farmington Hills, MI | GLENVIEW, IL | 14 | 35 | 2 | yes |
| S•••• K•••••• B•••••• | n/a | KNOXVILLE, TN | GLENVIEW, IL | 14 | 34 | 3 | yes |
| J••••• S•••• L••••••••• | n/a | CHICAGO, IL | GLENVIEW, IL | 12 | 29 | 3 | yes |
| G•••••• S•••• K••••• | n/a | GLENVIEW, IL | Winter Park, FL | 11 | 33 | 1 | yes |
| K•••• J••• S••••••••• | n/a | GLENVIEW, IL | FARMINGTON HILLS, MI | 11 | 40 | 2 | yes |
| A••••• D••••• F••••• | n/a | GLENVIEW, IL | FARMINGTON HILLS, MI | 11 | 42 | 2 | yes |
| S••••• M••• G••••••••• | n/a | GLENVIEW, IL | Fort Meyers, FL | 10 | 38 | 2 | yes |
| J••• V•••• K•••••• | n/a | GLENVIEW, IL | Farmington Hills, MI | 10 | 42 | 1 | no |
| K•••• J••••• M•••••• | n/a | Manasquan, NJ | 9 | 32 | n/a | yes |
| C••••••• A••••••••• O••••• | n/a | Orlando, FL | 8 | 20 | n/a | yes |
| R••• F••••• | n/a | Miami, FL | 6 | 29 | n/a | yes |
| T•••••• J••••• T••••••• | n/a | Oro Valley, AZ | 3 | 23 | 4 | no |
| M•••••• G••••• H••••• | n/a | GLENVIEW, IL | Fort Myers, FL | 2 | 38 | 5 | yes |
| M••• C•••••••• | n/a | Bryan, TX | GLENVIEW, IL | 2 | 16 | n/a | yes |
| G••••• J•••• C•••••• | n/a | GLENVIEW, IL | 1 | 10 | n/a | yes |
| S•••• E•••• G•••••• | n/a | San Juan Capistrano, CA | 1 | 11 | n/a | yes |
| J•••• F•••••• M•••••• | n/a | GLENVIEW, IL | Brick, NJ | 0 | 32 | 2 | yes |
| Grantor |
| E |
| yes |
| 12/2012 |
| Nov 8, 2011 |
| Dec 19, 2024 |
| B•••••• G••••• | Shareholder | D | yes | 04/2001 | Nov 8, 2011 | Dec 19, 2024 |
| J•••••• B••••• G••••• | Cco | Na | yes | 10/2024 | Oct 22, 2024 | Dec 19, 2024 |
| B•••••• V•••••••• T••••••• | Trustee | Na | no | 12/2012 | Jun 25, 2018 | Dec 19, 2024 |
| yes |
| Bixby | Ok | United States | 1 | no |
| BR••• | TX | United States | 1 | yes |
| n/a | n/a | n/a | 1 | no |
| n/a | n/a | n/a | 1 | yes |
| Mar 19, 2026 |
| $121M |
| $64.4M |
| 25 |
| 16 |
| 12 |
| n/a |
| n/a |
| 2024 | Mar 27, 2025 | $114M | $42.4M | 24 | 15 | 11 | n/a | n/a |
| 2023 | Mar 26, 2024 | $109M | $38.6M | 24 | 17 | 13 | n/a | n/a |
| 2022 | Mar 28, 2023 | $92.4M | $33.5M | 25 | 16 | 13 | n/a | n/a |
| 2021 | Mar 29, 2022 | $90.8M | $36.0M | 25 | 16 | 13 | n/a | n/a |
| 2020 | Mar 29, 2021 | $110M | $63.1M | 24 | 15 | 13 | n/a | n/a |
| 2019 | Mar 12, 2020 | $107M | $50.4M | 32 | 22 | 14 | n/a | n/a |
| 2018 | Mar 26, 2019 | $93.3M | $38.9M | 35 | 22 | 13 | n/a | n/a |
| 2017 | Mar 28, 2018 | $104M | $43.1M | 36 | 22 | 14 | n/a | n/a |
| 2016 | Mar 9, 2017 | $112M | $60.5M | 37 | 30 | n/a | n/a | n/a |
| 2015 | Mar 22, 2016 | $170M | $130M | 30 | 25 | n/a | n/a | n/a |
| 2014 | Mar 9, 2015 | $142M | $109M | 34 | 27 | n/a | n/a | n/a |
| 2013 | Mar 5, 2014 | $119M | $90.9M | 32 | 25 | n/a | n/a | n/a |
| 2012 | Mar 20, 2013 | $80.6M | $66.1M | 34 | 28 | n/a | n/a | n/a |
| 2011 | Feb 7, 2012 | $37.6M | $35.8M | n/a | n/a | n/a | n/a | n/a |
| SEA GIRT, NJ |
| Team lift out |
| RIA to ibd |
| 7.1% |