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H•• W••••• A•••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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

H•• W••••• A•••••••

H•• W••••• A•••••••, LLC, CRD 159910

OAKBROOK TERRACE, IL

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Search this name across graphsid dfx:ria:9e3104ef-c85b-8838-81a8-048b3fde71b8

Data as of Mar 12, 2018 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:12 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 1
Observed: Dec 20, 2011 to Mar 12, 2018
17 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

H•• W••••• A•••••••

Private equity manager · shared crd

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: $165MItem 5.F on the latest filing (2018-03-12); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $70.0M
Private client RAUM: $157MderivedItem 5.D individuals plus high net worth individuals
Private client share: 95%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
H• I••••••••• P••••••• I• L•	Private Equity Fund	$6.2M	Mar 23, 2016	48	Aug 22, 2013	dropped	n/a
H• I••••••••• P••••••• Q•• L•	Private Equity Fund	$3.6M

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
S••••• J•••• A••••	MANAGING PARTNER AND CHIEF COMPLIANCE OFFICER	E	yes	02/2012	Feb 13, 2012	Mar 12, 2018

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

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
2017	$165M	$165M	0.0%	$140M	5.6%	1	1	0	n/a

Relationships

Controls (1)

← S••••• J•••• A••••OwnerMANAGING PARTNER AND CHIEF COMPLIANCE OFFICER, ownership code E, individual
Feb 13, 2012 to presentfactForm ADV

Advises (2)

→ H• I••••••••• P••••••• I• L•Private fundPrivate Equity Fund, IA, no longer reported
Aug 22, 2013 to Mar 23, 2016factForm ADV
→ H• I••••••••• P••••••• Q•• L•Private fundPrivate Equity Fund, IA, no longer reported
Aug 22, 2013 to Mar 24, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9e3104ef-c85b-8838-81a8-048b3fde71b8
First observed: Dec 20, 2011
Last observed: Mar 12, 2018 103 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.