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CRD 147206
CHICAGO, IL
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| PHOENIX MASTER FUND LP | Hedge Fund | $25.5M | Jul 9, 2013 | 78 | Mar 30, 2012 | dropped | 021-40943 |
| STRUCTURED FINANCE OPPORTUNITY MASTER FUND LP | Hedge Fund | $2.9M | Oct 27, 2014 | 77 | Mar 30, 2012 | dropped | 021-65625 |
| PARAGON MASTER FUND LP | Hedge Fund | $6,945 | Dec 9, 2019 | 75 | Mar 30, 2012 | reported | 021-40944 |
| PARAGON QP MASTER FUND LP | Hedge Fund | $1,198 | Dec 9, 2019 | 41 | Mar 30, 2012 | reported | 021-128240 |
| RLF OPPORTUNITY FUND LLC | Real Estate Fund | $0 | Jun 30, 2017 | 0 | Mar 30, 2012 | dropped | 021-175199 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| COOGAN, GERALD, BRADY | Director | Na | yes | 03/2019 | Mar 28, 2019 | Dec 9, 2019 |
| CROSSON, JOHN, FRANCIS | PRESIDENT/MANAGER | Na | yes | 04/2018 | Jan 9, 2017 | Dec 9, 2019 |
| FIFTH THIRD ACQUISITION HOLDINGS, LLC (DBA FITH THIRD BANK, NATIONAL ASSOCIATION) | Shareholder | E | yes | 03/2019 | Dec 9, 2019 | Dec 9, 2019 |
| FIFTH THIRD BANCORP | Shareholder | E | yes | 03/2019 | Mar 28, 2019 | Dec 9, 2019 |
| FIFTH THIRD BANK, NATIONAL ASSOCIATION | Shareholder | E | yes | 03/2019 | Dec 9, 2019 | Dec 9, 2019 |
| FIFTH THIRD FINANCIAL CORPORATION | Shareholder | E | yes | 03/2019 | Mar 28, 2019 | Dec 9, 2019 |
| HOUSMAN, ERIC, BENJAMIN | Director | Na | yes | 03/2019 | Mar 28, 2019 | Dec 9, 2019 |
| KENNEDY, MICHAEL, FRANCIS | Director | Na | yes | 03/2019 | Mar 28, 2019 | Dec 9, 2019 |
| LAMB, BRIAN, DARYL | Director | Na | yes | 03/2019 | Mar 28, 2019 | Dec 9, 2019 |
| REYNOLDS, JONATHAN, WILLIAM | Director | Na | yes | 03/2019 | Mar 28, 2019 | Dec 9, 2019 |
| WALNUT & VINE HOLDINGS, LLC (DBA FIFTH THIRD BANK, NATIONAL ASSOCIATION) | Shareholder | E | yes | 03/2019 | Dec 9, 2019 | Dec 9, 2019 |
| WILSON, JEREMY, MARK | CHIEF COMPLIANCE OFFICER | Na | yes | 05/2018 | Jul 2, 2018 | Dec 9, 2019 |
| ZIENTEK, TARA, COLLEEN | CHIEF FINANCIAL OFFICER | Na | yes | 06/2017 | Jun 30, 2017 | Dec 9, 2019 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| FIFTH THIRD SECURITIES, INC. | n/a | Bd affiliated wealth | $11B | N | yes | n/a |
| MAINSTREET INVESTMENT ADVISORS LLC | n/a | Other adviser | $5.9B | N | yes | n/a |
| FRANKLIN STREET ADVISORS, INC. | n/a | Bank affiliated wealth | $4.5B | N | yes | n/a |
| CLEARARC CAPITAL, INC. | n/a | Former SEC adviser | $3.9B | N | yes | n/a |
| THE RETIREMENT CORPORATION OF AMERICA | n/a | Former SEC adviser | $632M | N | yes | n/a |
| EPIC INSURANCE SOLUTIONS AGENCY, LLC | n/a | n/a | n/a | N | yes | n/a |
| FIFTH THIRD BANK | n/a | n/a | n/a | Y | yes | n/a |
| FIFTH THIRD INSURANCE AGENCY, INC. | n/a | n/a | n/a | N | yes | n/a |
| R SQUARED, LLC | n/a | n/a | n/a | Y | yes | n/a |
| R.G. MCGRAW INSURANCE AGENCY, INC. | n/a | n/a | n/a | N | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2018 | Mar 28, 2019 | $211M | $199M | 16 | 10 | 2 | 7 | $27.6M |
| 2017 | Mar 29, 2018 | $1.2B | $1.2B | 20 | 16 | 2 | 7 | $29.3M |
| 2016 | Mar 30, 2017 | $1.2B | $1.1B | 10 | 10 | n/a | 8 | $87.9M |
| 2015 | Mar 28, 2016 | $1.2B | $1.1B | 8 | 8 | n/a | 8 | $94.4M |
| 2014 | Mar 23, 2015 | $1.3B | $1.2B | 9 | 9 | n/a | 8 | $105M |
| 2013 | Mar 27, 2014 | $1.2B | $1.2B | 9 | 9 | n/a | 9 | $119M |
| 2012 | Apr 3, 2013 | $1.1B | $1.0B | 9 | 9 | n/a | 10 | $143M |
| 2011 | Mar 30, 2012 | $1.0B | $993M | n/a | n/a | n/a | 10 | $141M |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2018 | $211M | $1.2B | -83.0% | $1.2B | -44.1% | 16 | 20 | 0 | 2 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| GUARDIAN FINANCIAL | 2 | Jan 25, 2019 | May 29, 2019 | CHICAGO, IL | Team lift out | Other | 66.7% |
| VIVALDI CAPITAL MANAGEMENT LP | 2 | Dec 3, 2018 | Dec 26, 2018 | CHICAGO, IL | Team lift out | Other | 40.0% |