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

PARASOL INVESTMENT MANAGEMENT, LLC

CRD 156074

WESTMONT, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:a6fc89e3-e488-5d92-736c-80377722a02a

Data as of Mar 28, 2016 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Mar 28, 2012 to Mar 28, 2016
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: $122MItem 5.F on the latest filing (2016-03-28); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $122M
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
Employees: 1
Advisory employees: 1
Accounts: 125
SEC number: 801-72301
CRD: 156074
Filings on the tape: 7
First filed: Mar 28, 2012
Latest filed: Mar 28, 2016
Organised: Limited Liability Company, Delaware

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
FIRST MIDWEST BANCORP, INC	MANAGING MEMBER/SOLE MEMBER	E	yes	12/2010	Mar 28, 2012	Mar 28, 2016
GRUBER, JOY, ANN	CIO/CCO	Na	yes	07/2015	Jul 21, 2015	Mar 28, 2016

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
FIRST MIDWEST BANK	n/a	n/a	n/a	N	yes	IL

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Joliet	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
2015	Mar 28, 2016	$122M	$122M	1	1	n/a	n/a	n/a
2014	Mar 27, 2015	$179M	$179M	1	1	n/a	n/a	n/a
2013	Mar 27, 2014	$169M	$169M	2	2	n/a	n/a	n/a
2012	Mar 28, 2013	$128M	$128M	3	2	n/a	n/a	n/a
2011	Mar 28, 2012	$108M	$104M	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
2015	$122M	$179M	-31.9%	$128M	-1.5%	1	1	n/a	n/a

Relationships

Controls (2)

← GRUBER, JOY, ANNOwnerCIO/CCO, ownership code NA, individual
Jul 21, 2015 to presentfactForm ADV
← FIRST MIDWEST BANCORP, INCOwnerMANAGING MEMBER/SOLE MEMBER, ownership code E, domestic entity
Mar 28, 2012 to presentfactForm ADV

Registered with (3)

← DONALD ALAN POWELLAdvisorregistration: previous registration
Nov 4, 2015 to Mar 30, 2017factForm ADV
← JASON RAYMOND BULINSKIAdvisorregistration: previous registration
Nov 4, 2015 to Mar 30, 2017factForm ADV
← MARK WILLIAM DIORIOAdvisorregistration: previous registration
Jul 27, 2011 to Nov 17, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a6fc89e3-e488-5d92-736c-80377722a02a
First observed: Mar 28, 2012
Last observed: Mar 28, 2016 127 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.

PARASOL INVESTMENT MANAGEMENT, LLC

CRD 156074

WESTMONT, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:a6fc89e3-e488-5d92-736c-80377722a02a

Data as of Mar 28, 2016 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:51 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FIRST MIDWEST BANCORP, INC

MANAGING MEMBER/SOLE MEMBER

yes

12/2010

Mar 28, 2012

Mar 28, 2016

GRUBER, JOY, ANN

CIO/CCO

yes

07/2015

Jul 21, 2015

Mar 28, 2016

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

FIRST MIDWEST BANK

n/a

yes

City

State

Country

Employees

Also broker-dealer

Joliet

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2015

Mar 28, 2016

$122M

n/a

2014

Mar 27, 2015

$179M

n/a

2013

Mar 27, 2014

$169M

n/a

2012

Mar 28, 2013

$128M

n/a

2011

Mar 28, 2012

$108M

$104M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2015

$122M

$179M

-31.9%

$128M

-1.5%

n/a