DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

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

N••••• I••••••••• A•••••••• L••

CRD 123122

CHICAGO, 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 graphs

Data as of Mar 27, 2018 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:01 PM UTC and rebuilt at most every 15 minutes.

Relationships: 29
Dated events: 1
On other graphs: 0
Observed: Mar 27, 2012 to Mar 27, 2018
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: $291M••• Locked
Discretionary RAUM: $21.6M
Private client RAUM: $243Mderived••• Locked
Private client share: 84%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 24

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••• S•••••• J•••	MANAGING DIRECTOR, GENERAL COUNSEL	Na	yes	11/2002	Mar 27, 2012	Mar 27, 2018
G•••••• C••••••• P•	SENIOR MANAGING DIRECTOR	Na	yes	08/2016	Aug 12, 2016	Mar 27, 2018

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
T••••••• A•••••••• L••	n/a	Former SEC adviser	$436B	N	yes	n/a
T•••••••• I••••••••• M••••••••• L••	n/a	Asset manager	$292B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
SAN FRANCISCO	CA	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
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
2017	$291M	$272M	6.9%	$312M	-2.3%	24	26	1	n/a

Relationships

Affiliated with (14)

→ N••••• F••• A•••••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV
→ W•••••• C•••••• M••••••••• L••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ T••••••• A•••••••• L••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ T•••••••• I••••••••• M••••••••• L••Registered adviser

Dated events

Order

Occurred
30 Mar 2016
Succession filed (Item 4)
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 27, 2012
Last observed: Mar 27, 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.

All 12 rows

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
T••• B•••• O• O••••••••	Shareholder	E	yes	10/2014	Oct 3, 2014	Mar 27, 2018
W••••••• A•••••• P•••	Controller	Na	no	03/2017	Mar 23, 2017	Mar 27, 2018

All 20 rows

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S•••• B•••••• A•••• M••••••••• L••	n/a	Former SEC adviser	$7.5B	N	yes	n/a
G•••••••• R•••••••• C•••••• M••••••••• L••	n/a	Former SEC adviser	$1.3B	N	yes	n/a
A•• P••••••• L••	n/a	Asset manager	$1.2B	N	yes	n/a
H•••••••• P••••••• U• A••• L••••••	n/a	n/a	n/a	N	yes	n/a
N••••• R••• E••••• M••••••••• L••••••	n/a	n/a	n/a	N	yes	n/a
N••••• S••••••••• L••	n/a	n/a	n/a	N	yes	n/a
N••••• U• L••••••	n/a	n/a	n/a	N	yes	n/a
T••••••• P••••••• I•••••••• S•••••••• I•••	n/a	n/a	n/a	N	yes	n/a
T•••••••• A•••• M••••••••• U• L••••••	n/a	n/a	n/a	N	yes	n/a
W••••••••• G•••• I••••••••• M••••••••• I•••	n/a	n/a	n/a	N	yes	n/a