The intelligence graph connecting private capital, companies and real assets. Public records ingested on their own cadence, resolved to one identity by shared identifier, connected by typed relationships with a date and a source on every edge, and read by detectors that say what changed and what it means. Facts, derived metrics, signals, anomalies and inferences are labelled as such.
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CRD 108211
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 |
|---|---|---|---|---|---|---|
| JAMES ROSS PRESCOTT | n/a | CHICAGO, IL | 11 | 14 | 1 | yes |
| HENRY EDWARD SHOLL | Certified Financial Planner | CHICAGO, IL | 5 | 13 | 1 | yes |
| Danan Michael Kirby | n/a | CHICAGO, IL | 4 | 10 | 1 | yes |
| NICHOLAS PETER SARKOS | n/a | CHICAGO, IL | 3 | 13 | 1 | yes |
| JESSICA RICHARD | n/a | New York, NY | CHICAGO, IL | 2 | 19 | 1 | yes |
| Kara Irene Brosio | n/a | CHICAGO, IL | 0 | 11 | 2 | no |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| ARIEL INTERNATIONAL DM/EM LLC | Other Private Fund | $159M | Sep 9, 2024 | 10 | Mar 27, 2017 | reported | 021-284273 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| ARIEL CAPITAL MANAGEMENT HOLDINGS, INC. | OWNER | C | yes | 02/2004 | Dec 22, 2011 | Sep 9, 2024 |
| BOBRINSKOY, CHARLES, KELLOGG | VICE CHAIRMAN | NA | yes | 09/2004 | Dec 22, 2011 | Sep 9, 2024 |
| CREMERS, KLAAS, JAN, MARTIJN | DIRECTOR | NA | yes | 07/2019 | Aug 5, 2019 | Sep 9, 2024 |
| DUNCAN, ARNE, STARKEY | DIRECTOR | NA | yes | 07/2019 | Aug 5, 2019 | Sep 9, 2024 |
| HOBSON LUCAS, MELLODY, LOUISE | CO-CEO, PRESIDENT AND DIRECTOR | C | yes | 05/2000 | Dec 22, 2011 | Sep 9, 2024 |
| JARRETT, VALERIE, BOWMAN | DIRECTOR | NA | yes | 07/2019 | Aug 5, 2019 | Sep 9, 2024 |
| MERCHANT, FAZAL, FAROOK | DIRECTOR | NA | yes | 03/2021 | Mar 24, 2021 | Sep 9, 2024 |
| RODRIGUEZ-AYALA, EMMA, LEONOR | EXECUTIVE VICE PRESIDENT, CHIEF ADMINISTRATIVE OFFICER, GENERAL COUNSEL & SECRETARY | NA | yes | 01/2023 | Jan 12, 2023 | Sep 9, 2024 |
| ROGERS, JOHN, WASHINGTON | CHAIRMAN, CO-CEO, CHIEF INVESTMENT OFFICER AND DIRECTOR | NA | yes | 05/2000 | Dec 22, 2011 | Sep 9, 2024 |
| ROGERS, JOHN, WASHINGTON | SHAREHOLDER | D | yes | 02/2004 | Dec 22, 2011 | Sep 9, 2024 |
| ROMERO, ANTHONY, DAVID | DIRECTOR | NA | yes | 03/2021 | Mar 24, 2021 | Sep 9, 2024 |
| SMITH, JUDY, ARLINE | DIRECTOR | NA | yes | 06/2021 | Jul 7, 2021 | Sep 9, 2024 |
| TOOKES, HEATHER, ELISE | DIRECTOR | NA | yes | 07/2019 | Aug 5, 2019 | Sep 9, 2024 |
| WOLFF, PAULA | DIRECTOR | NA | yes | 07/2019 | Aug 5, 2019 | Sep 9, 2024 |
| CALDERON, CARLOS, ESTUARDO | SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER | NA | no | 06/2021 | Jul 7, 2021 | Sep 9, 2024 |
| FIDLER, TIMOTHY, ROBERT | EXECUTIVE VICE PRESIDENT, DIRECTOR OF RESEARCH | NA | no | 12/2018 | Dec 14, 2018 | Sep 9, 2024 |
| FOX, WENDY, DEVORAH | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | no | 10/2004 | Dec 22, 2011 | Sep 9, 2024 |
| KUHRT, KENNETH, EDWIN | EXECUTIVE VICE PRESIDENT | NA | no | 01/2021 | Mar 24, 2021 | Sep 9, 2024 |
| MALLARI-D'AURIA, HENRY, S | EXECUTIVE VICE PRESIDENT, CHIEF INVESTMENT OFFICER, GLOBAL & EMERGING MARKETS EQUITIES | NA | no | 09/2023 | Sep 1, 2023 | Sep 9, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| ARIEL ALTERNATIVES, LLC | n/a | ASSET MANAGER | $1.5B | Y | yes | n/a |
| ARIEL DISTRIBUTORS, LLC | n/a | n/a | n/a | Y | yes | n/a |
| PROJECT BLACK COORDINATED PARTICIPATION FUND GP, LP | n/a | n/a | n/a | Y | no | n/a |
| PROJECT BLACK COORDINATED PARTICIPATION FUND GP, LP | n/a | n/a | n/a | Y | no | n/a |
| PROJECT BLACK GP, LP | n/a | n/a | n/a | Y | no | n/a |
| PROJECT BLACK MANAGEMENT COMPANY, LLC | n/a | n/a | n/a | Y | yes | n/a |
| PROJECT BLACK SPARTA II CO-INVESTMENT MANAGER, LP | n/a | n/a | n/a | Y | no | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| NEW YORK | NY | United States | 20 | yes |
| SAN FRANCISCO | CA | United States | 0 | yes |
| SYDNEY, NSW | n/a | Australia | 0 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 10, 2026 | $13B | $13B | 109 | 30 | 2 | 3 | n/a |
| 2024 | Apr 28, 2025 | $12B | $12B | 120 | 30 | 2 | 2 | n/a |
| 2023 | Mar 29, 2024 | $13B | $13B | 101 | 29 | 4 | 1 | $159M |
| 2022 | Mar 16, 2023 | $15B | $15B | 93 | 24 | 4 | 1 | $504M |
| 2021 | Mar 24, 2022 | $17B | $17B | 97 | 19 | 3 | 1 | $583M |
| 2020 | Mar 24, 2021 | $15B | $15B | 86 | 22 | 3 | 1 | $532M |
| 2019 | Mar 26, 2020 | $13B | $13B | 60 | 23 | 3 | 1 | $407M |
| 2018 | Mar 21, 2019 | $12B | $12B | 79 | 23 | 2 | 1 | $228M |
| 2017 | Mar 28, 2018 | $13B | $13B | 70 | 19 | 2 | 1 | $58.0M |
| 2016 | Mar 27, 2017 | $11B | $11B | 65 | 20 | n/a | 1 | $0 |
| 2015 | Mar 22, 2016 | $10B | $10B | 61 | 20 | n/a | n/a | n/a |
| 2014 | Mar 26, 2015 | $10B | $10B | 66 | 20 | n/a | n/a | n/a |
| 2013 | Mar 27, 2014 | $9.0B | $9.0B | 60 | 18 | n/a | n/a | n/a |
| 2012 | Mar 27, 2013 | $4.9B | $4.9B | 62 | 19 | n/a | n/a | n/a |
| 2011 | Mar 29, 2012 | $4.4B | $4.4B | 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 | 0 | 1 | 0.0% | 0 | 0 | 0 | 2 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $13B | $12B | 3.3% | $15B | -4.8% | 109 | 120 | 2 | 2 |