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V••••• C•••••• P•••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

V••••• C•••••• P•••••••• L••

CRD 136859

CHICAGO, IL

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Search this name across graphsid dfx:ria:99ae2150-224b-941d-7efa-faa60c8b134f

Data as of Jun 27, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 27
Dated events: 0
On other graphs: 0
Observed: Feb 29, 2012 to Jun 27, 2012
7 observations

Across DFX

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.

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: $410MItem 5.F on the latest filing (2012-06-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $394M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts

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
B••••• B••••• C••••••••	PRINCIPAL/DIRECTOR/PRESIDENT	D	yes	10/2010	Feb 29, 2012	Jun 27, 2012
B••••• B••••• C••••••••	MANAGING MEMBER/PRESIDENT/CHIEF INVESTMENT OFFICER/PRINCIPAL	Na	yes	12/1984	Feb 29, 2012

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
V••••• C•••••• I•••••••• A•••••••• L••	n/a	n/a	n/a	Y	yes	n/a
V••••• C•••••• S••••••••• L••	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
LAKE FOREST	IL	United States	n/a	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
2011	Mar 29, 2012	$410M	$394M	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
2011	$410M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (11)

← K••••••• J••••• J•OwnerMEMBER/MANAGING DIRECTOR, ownership code NA, individual
Feb 29, 2012 to presentfactForm ADV
← S••••• D•••••• J••••OwnerMEMBER/SENIOR VICE PRESIDENT, ownership code NA, individual
Feb 29, 2012 to presentfactForm ADV
← B••••• B••••• C••••••••OwnerPRINCIPAL/DIRECTOR/PRESIDENT, ownership code D, individual
Feb 29, 2012 to presentfactForm ADV
← C••••••••• F•••• D•••••OwnerELECTED MANAGER, ownership code NA, individual
Feb 29, 2012 to presentfact

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:99ae2150-224b-941d-7efa-faa60c8b134f
First observed: Feb 29, 2012
Last observed: Jun 27, 2012 173 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.