DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

T•••••••• A•••••••• I•••

CRD 153744

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 graphsid dfx:ria:b0c64da1-a5dc-1aac-23bf-54453f309c89

Data as of Mar 18, 2021 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 24
Dated events: 9
On other graphs: 0
Observed: Dec 21, 2011 to Mar 18, 2021
38 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
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 0
Advisory employees: 0
Offices: 0Schedule D 1.F, beyond the principal office
Individual clients: 2,764
High net worth clients: 8

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
E•••••• J•••• J••	Director	Na	yes	12/2013	Dec 19, 2013	Mar 18, 2021
K••••••• P••••••• H•••••	CHIEF COMPLIANCE OFFICER	Na	yes	02/2020	Mar 5, 2020	Mar 18, 2021

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
T• A••••••••• I••••••••• M••••••••• L••	n/a	Former SEC adviser	$16B	N	yes	n/a
T• A••••••••• C•••••••• I•••	n/a	n/a	n/a	N	yes

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020	Jan 5, 2021	n/a	n/a	0	0	0	n/a	n/a
2019	Dec 16, 2019

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	n/a	n/a	n/a	n/a	n/a	0	0	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
T• A••••••••• I•••	5	May 11, 2021	May 3, 2021	CHICAGO, IL	Firm absorbed	Other	83.3%

Relationships

Affiliated with (3)

→ T• A••••••••• I••••••••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ T• A••••••••• I•••Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
← S•••••••• I••••••••• M•••••••••Registered adviserother investment adviser, common control
factForm ADV

Controls (10)

← K••••••• P••••••• H•••••

Dated events

Occurred
Mar 18, 2021
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 18, 2021
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 18, 2021
Control person joined
••• Locked
Form ADVobserved 7 days ago
Occurred
Oct 30, 2020
Control person left

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b0c64da1-a5dc-1aac-23bf-54453f309c89
First observed: Dec 21, 2011
Last observed: Mar 18, 2021 67 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.