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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

SMITH WHILEY & CO

SMITH WHILEY & COMPANY, CRD 107655

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Search this name across graphsid dfx:ria:b02876e5-8fd6-494a-4493-c11228f38cbe

Data as of Mar 30, 2015 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 2
Observed: Mar 30, 2012 to Mar 30, 2015
6 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

Smith Whiley & Co

Private equity manager · cited, shared crd

Allocatorsidentity

Smith Whiley & Co

Manager with allocator commitments · cited, shared crd

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: $52.6MItem 5.F on the latest filing (2015-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $52.6M
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: 7
Advisory employees: 5
Accounts: 3
Private funds: 3Schedule D 7.B(1)
Private fund GAV: $52.8Mgross asset value as reported per fund; never fund size
Custody, client assets: $52.6M
SEC number: 801-46772
CRD: 107655
Filings on the tape: 6
First filed: Mar 30, 2012
Latest filed: Mar 30, 2015
Organised: Corporation, Delaware

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
LIQUIDATING TRUST OF SW PELHAM FUND, L.P.	Private Equity Fund	$2.0M	Mar 29, 2017	5	Mar 30, 2012	reported	n/a
LIQUIDATING TRUST OF SW PELHAM FUND II, L.P.	Private Equity Fund	$4,804	Mar 29, 2017	9	Mar 30, 2012	reported	021-52985
SW PELHAM FUND III, L.P.	Private Equity Fund	$0	Mar 30, 2021	13	Mar 30, 2012	reported	021-92641

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
FIELDS, VENITA, ELAINE	SENIOR MANAGING DIRECTOR	Na	yes	06/2000	Mar 30, 2012	Mar 30, 2015
ILOANI, GWENDOLYN, SMITH	CHAIRPERSON, PRESIDENT & CEO, CHIEF COMPLIANCE OFFICER	E	yes	05/1994	Mar 30, 2012	Mar 30, 2015
NYMAN, KURT, HILDING	SENIOR MANAGING DIRECTOR	Na	yes	07/2011	Mar 30, 2012	Mar 30, 2015
SMITH WHILEY & COMPANY	OWNS 100% OF PELHAM CAPITAL MANAGEMENT III, LLC (RELYING ADVISER)	E	yes	08/2005	Mar 30, 2015	Mar 30, 2015

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
PELHAM CAPITAL MANAGEMENT II, LLC	n/a	n/a	n/a	Y	yes	n/a
PELHAM CAPITAL MANAGEMENT III, LLC	n/a	n/a	n/a	Y	yes	n/a
PELHAM CAPITAL MANAGEMENT, LLC	n/a	n/a	n/a	Y	yes	n/a
SMITH WHILEY SECURITIES, INC.	n/a	n/a	n/a	Y	yes	n/a

Offices

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

City	State	Country	Employees	Also broker-dealer
Evanston	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
2014	Mar 30, 2015	$52.6M	$52.6M	7	5	n/a	3	$52.8M
2013	Mar 31, 2014	$80.6M	$80.6M	7	5	n/a	3	$80.6M
2012	Mar 28, 2013	$76.5M	$76.5M	10	9	n/a	3	$76.5M
2011	Mar 30, 2012	$96.9M	$96.9M	n/a	n/a	n/a	3	$96.9M

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
2014	$52.6M	$80.6M	-34.8%	$96.9M	-18.5%	7	7	n/a	n/a

Relationships

Advises (3)

→ SW PELHAM FUND III, L.P.Private fundPrivate Equity Fund, ERA
Mar 30, 2012 to presentfactForm ADV
→ LIQUIDATING TRUST OF SW PELHAM FUND II, L.P.Private fundPrivate Equity Fund, ERA
Mar 30, 2012 to presentfactForm ADV
→ LIQUIDATING TRUST OF SW PELHAM FUND, L.P.Private fundPrivate Equity Fund, ERA
Mar 30, 2012 to presentfactForm ADV

Controls (4)

← ILOANI, GWENDOLYN, SMITHOwnerCHAIRPERSON, PRESIDENT & CEO, CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 30, 2012 to presentfactForm ADV
← FIELDS, VENITA, ELAINEOwnerSENIOR MANAGING DIRECTOR, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← NYMAN, KURT, HILDINGOwnerSENIOR MANAGING DIRECTOR, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← SMITH WHILEY & COMPANYOwnerOWNS 100% OF PELHAM CAPITAL MANAGEMENT III, LLC (RELYING ADVISER), ownership code E, domestic entity
Mar 30, 2015 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b02876e5-8fd6-494a-4493-c11228f38cbe
First observed: Mar 30, 2012
Last observed: Mar 30, 2015 139 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.

SMITH WHILEY & CO

SMITH WHILEY & COMPANY, CRD 107655

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:b02876e5-8fd6-494a-4493-c11228f38cbe

Data as of Mar 30, 2015 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:56 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

LIQUIDATING TRUST OF SW PELHAM FUND, L.P.

Private Equity Fund

$2.0M

Mar 29, 2017

Mar 30, 2012

reported

n/a

LIQUIDATING TRUST OF SW PELHAM FUND II, L.P.

Private Equity Fund

$4,804

Mar 29, 2017

Mar 30, 2012

reported

021-52985

SW PELHAM FUND III, L.P.

Private Equity Fund

Mar 30, 2021

Mar 30, 2012

reported

021-92641

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FIELDS, VENITA, ELAINE

SENIOR MANAGING DIRECTOR

yes

06/2000

Mar 30, 2012

Mar 30, 2015

ILOANI, GWENDOLYN, SMITH

CHAIRPERSON, PRESIDENT & CEO, CHIEF COMPLIANCE OFFICER

yes

05/1994

Mar 30, 2012

Mar 30, 2015

NYMAN, KURT, HILDING

SENIOR MANAGING DIRECTOR

yes

07/2011

Mar 30, 2012

Mar 30, 2015

SMITH WHILEY & COMPANY

OWNS 100% OF PELHAM CAPITAL MANAGEMENT III, LLC (RELYING ADVISER)

yes

08/2005

Mar 30, 2015

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

PELHAM CAPITAL MANAGEMENT II, LLC

n/a

yes

n/a

PELHAM CAPITAL MANAGEMENT III, LLC

n/a

yes

n/a

PELHAM CAPITAL MANAGEMENT, LLC

n/a

yes

n/a

SMITH WHILEY SECURITIES, INC.

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Evanston

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2014

Mar 30, 2015

$52.6M

n/a

$52.8M

2013

Mar 31, 2014

$80.6M

n/a

$80.6M

2012

Mar 28, 2013

$76.5M

n/a

$76.5M

2011

Mar 30, 2012

$96.9M

n/a

$96.9M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2014

$52.6M

$80.6M

-34.8%

$96.9M

-18.5%

n/a