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CRD 131802
CHICAGO, 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.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| GNABASIK, MATTHEW, WILKE | MANAGING DIRECTOR | C | yes | 08/2002 | Mar 30, 2012 | Mar 27, 2019 |
| MULLIGAN, CONSTANTINE, CHARLES | CHIEF COMPLIANCE OFFICER | A | yes | 01/2018 | Feb 7, 2018 | Mar 27, 2019 |
| PARRISH, TY, EDWARD | MEMBER: INVESTMENT ADVISOR REPRESENTATIVE | B | yes | 05/2013 | May 28, 2013 | Mar 27, 2019 |
| SILVERMAN, GARY, MICHAEL | CHIEF INVESTMENT OFFICER; WEALTH MANAGEMENT PRACTICE LEADER | C | yes | 05/2013 | May 28, 2013 | Mar 27, 2019 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Valrico | FL | United States | 1 | no |
| JOHNS CREEK | Ga | United States | 1 | no |
| Keizer | Or | United States | 1 | no |
| Pittsburgh | Pa | United States | 1 | no |
| Wayne | Pa | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2018 | Mar 27, 2019 | $296M | $296M | 14 | 12 | 6 | n/a | n/a |
| 2017 | Mar 30, 2018 | $288M | $288M | 17 | 15 | 6 | n/a | n/a |
| 2016 | Mar 29, 2017 | $7.1B | $268M | 14 | 8 | n/a | n/a | n/a |
| 2015 | Mar 11, 2016 | $6.4B | $194M | 13 | 7 | n/a | n/a | n/a |
| 2014 | Mar 26, 2015 | $6.1B | $219M | 11 | 5 | n/a | n/a | n/a |
| 2013 | Mar 31, 2014 | $5.2B | $173M | 15 | 9 | n/a | n/a | n/a |
| 2012 | Mar 28, 2013 | $4.3B | $138M | 14 | 9 | n/a | n/a | n/a |
| 2011 | Mar 30, 2012 | $4.1B | $132M | n/a | n/a | n/a | n/a | n/a |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2018 | $296M | $288M | 2.7% | $6.4B | -64.1% | 14 | 17 | 6 | 6 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| CERITY PARTNERS LLC | 2 | Apr 8, 2019 | Nov 26, 2024 | CHICAGO, IL | Team lift out | RIA to RIA | 33.3% |
| CERITY PARTNERS RETIREMENT PLAN CONSULTANTS | 3 | Apr 8, 2019 | Jul 2, 2019 | CHICAGO, IL | Firm absorbed | Other | 50.0% |