DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

I••••••••• C•••••• L••

CRD 107149

CHICAGO, IL

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Search this name across graphsid dfx:ria:a15154d2-0453-d6b3-f9f2-6d9594d8bd9d

Data as of Mar 31, 2017 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 25
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Mar 31, 2017
15 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: $19.6M••• Locked
Discretionary RAUM: $19.6M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• C••••••••• O•••••	ELECTED MANAGER	Na	yes	06/2015	Sep 4, 2015	Mar 31, 2017
C•••• T•••••• M•	SENIOR EXECUTIVE VICE PRESIDENT AND CHIEF INVESTMENT OFFICER	Na	yes	10/2016	May 4, 2012	Mar 31, 2017

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
N•• I•••••••• L••	n/a	I•••••••••_MANAGER	$329B	N	yes	n/a
M••••• S•••••• L••	n/a	Other adviser	$160B	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016	Mar 31, 2017

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$19.6M	$15B	-99.9%	$29B	-91.2%	7	58	n/a	n/a

Relationships

Affiliated with (15)

→ M••••• S•••••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ P•••••• A••••••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ N•• Y••• L••• I••••••••• M••••••••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ E•••• S••••••••• L••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a15154d2-0453-d6b3-f9f2-6d9594d8bd9d
First observed: Mar 30, 2012
Last observed: Mar 31, 2017 115 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.