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Reading the graph
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CRD 325089
NAPERVILLE, 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 |
|---|---|---|---|---|---|---|
| N••••••• D•••• S•••••• | n/a | Spring, TX | NAPERVILLE, IL | 3 | 13 | 1 | no |
| J•••• P••••••• F•••• | n/a | NAPERVILLE, IL | 3 | 10 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| R•••• D••••• B••• | MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER | B | yes | 03/2023 | Mar 16, 2023 | Jul 18, 2024 |
| S••••••• N•••••••• D•••• | MANAGING MEMBER | E | yes | 03/2023 | Mar 16, 2023 | Jul 18, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| S•••••• T•• A••••••• L•• | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Spring | TX | United States | 2 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 28, 2026 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 3 | -3 | 42.9% | 0 | 0 | 0 | 1 | 5 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $735M | $433M | 69.6% | n/a | n/a | 10 | 10 | 3 | 2 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| M••••• S•••••• | 4 | Mar 30, 2023 | Jun 26, 2023 | OAK BROOK, IL | Team lift out | Wirehouse to new firm | 0.0% |
| no |
| A••••• E•••• F••••••••• | Certified Financial Planner | Ann Arbor, MI | NAPERVILLE, IL | 2 | 10 | 1 | no |
| J••• A•••• R••••••• | n/a | NAPERVILLE, IL | Spring, TX | 1 | 11 | n/a | no |
| L••••• M•••• S•••••• | n/a | NAPERVILLE, IL | Spring, TX | 1 | 12 | n/a | no |
| E•••• M•••••• W•••••• | n/a | NAPERVILLE, IL | 0 | 10 | n/a | no |
| J•••• A•••• B••••• | n/a | NAPERVILLE, IL | 0 | 39 | n/a | no |
| $686M |
| $673M |
| 9 |
| 6 |
| 3 |
| n/a |
| n/a |
| 2024 | Mar 28, 2025 | $433M | $432M | 10 | 7 | 2 | n/a | n/a |
| 2023 | Mar 22, 2024 | $271M | $271M | 9 | 5 | 1 | n/a | n/a |