DFX Intelligence

L••••••• I••••••••• M••••••••• 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

L••••••• I••••••••• M••••••••• L••

CRD 168407

CHICAGO, IL

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Data as of Dec 18, 2014 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Feb 18, 2014 to Dec 18, 2014
3 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: $10.0M••• Locked
Discretionary RAUM: $10.0M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L••••••• F•••••••• I••	Owner	E	yes	10/2010	Feb 18, 2014	Dec 18, 2014
S••••• R•••••• N•••	Owner	E	yes	03/2011	Feb 18, 2014	Dec 18, 2014

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A•••• I••••••••• M••••••••• L••	n/a	Former SEC adviser	$198M	N	yes	n/a

Relationships

Affiliated with (1)

→ A•••• I••••••••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV

Controls (2)

← S••••• R•••••• N•••OwnerOWNER, ownership code E, individual
Feb 18, 2014 to presentfactForm ADV
← L••••••• F•••••••• I••OwnerOWNER, ownership code E, domestic entity
Feb 18, 2014 to presentfactForm ADV

Owns (1)

← D•••••• B••••• T•••••

Dated events

Occurred
Feb 18, 2014
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 18, 2014
Last observed: Dec 18, 2014 143 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.