DFX Intelligence
Data Factory
Reading the graph
Reading the graph
CRD 108233
CHICAGO, IL
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| PAUL MOODY EMBREE | n/a | CHICAGO, IL | 26 | 38 | 1 | no |
| MATTHEW LEE STADLER | n/a | CHICAGO, IL | 22 | 35 | 1 | no |
| JAMES J KARABAS | Certified Financial Planner | CHICAGO, IL | 10 | 41 | 4 | no |
| Jennifer Clifford | Certified Financial Planner | CHICAGO, IL | 10 | 23 | n/a | no |
| Samantha Davidson | Certified Financial Planner | CHICAGO, IL | 9 | 12 | n/a | no |
| WILLIAM ERNSTER EMBREE | n/a | CHICAGO, IL | 8 | 29 | n/a | no |
| MICHAEL DAVID PEART | n/a | CHICAGO, IL | Phoenix, AZ | 8 | 11 | 1 | no |
| LARA MICHELLE DALTON | Certified Financial Planner | CHICAGO, IL | 3 | 17 | 2 | no |
| JARED MILTON FUNK | n/a | CHICAGO, IL | 3 | 15 | 1 | no |
| Cooper Jeffrey Perry | n/a | CHICAGO, IL | 3 | 10 | 1 | no |
| NICK T. DEMOPOULOS | Certified Financial Planner | CHICAGO, IL | Hinsdale, IL | 2 | 18 | n/a | no |
| ANDREW NIGH | Chartered Financial Analyst | CHICAGO, IL | 2 | 11 | n/a | no |
| Patrick Cortazzo | Certified Financial Planner|Chartered Financial Consultant | CHICAGO, IL | Trafford, PA | 0 | 12 | 2 | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| EMBREE, PAUL, MOODY | Ceo | E | yes | 01/1995 | Aug 17, 2026 | Aug 17, 2026 |
| Davidson, Samantha | CHIEF COMPLIANCE OFFICER | Na | no | 12/2024 | Aug 17, 2026 | Aug 17, 2026 |
| KARABAS, JAMES, J | CHIEF COMPLIANCE OFFICER | Na | no | 01/2016 | Mar 4, 2016 | Dec 5, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| n/a | n/a | n/a | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Feb 13, 2026 | $2.6B | $2.6B | 19 | 14 | 6 | n/a | n/a |
| 2024 | Feb 25, 2025 | $2.3B | $2.1B | 18 | 13 | 4 | n/a | n/a |
| 2023 | Mar 20, 2024 | $2.0B | $1.8B | 17 | 10 | 0 | n/a | n/a |
| 2022 | Feb 8, 2023 | $1.6B | $708M | 14 | 10 | 0 | n/a | n/a |
| 2021 | Mar 21, 2022 | $1.8B | $738M | 15 | 11 | 0 | n/a | n/a |
| 2020 | Mar 17, 2021 | $1.5B | $577M | 11 | 7 | 0 | n/a | n/a |
| 2019 | Mar 30, 2020 | $1.2B | $478M | 11 | 7 | 0 | n/a | n/a |
| 2018 | Mar 1, 2019 | $1.0B | $352M | 11 | 7 | 0 | n/a | n/a |
| 2017 | Mar 2, 2018 | $1.0B | $336M | 6 | 4 | 0 | n/a | n/a |
| 2016 | Feb 23, 2017 | $826M | $262M | 6 | 4 | n/a | n/a | n/a |
| 2015 | Mar 4, 2016 | $625M | $350M | 9 | 6 | n/a | n/a | n/a |
| 2014 | Mar 26, 2015 | $625M | $350M | 6 | 3 | n/a | n/a | n/a |
| 2013 | Mar 28, 2014 | $600M | $300M | 6 | 3 | n/a | n/a | n/a |
| 2012 | Mar 22, 2013 | $350M | $175M | 6 | 3 | n/a | n/a | n/a |
| 2011 | Feb 13, 2012 | $350M | $175M | n/a | n/a | n/a | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 1 | 1 | 0 | 7.7% | 0 | 1 | 0 | 2 | 2 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $2.6B | $2.3B | 15.9% | $1.6B | 17.6% | 18 | 18 | 6 | 4 |