DFX Intelligence

F•••• E•••• A••••••••• C••••• S••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

F•••• E•••• A••••••••• C••••• S••• L••

CRD 161045

CHICAGO, IL

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Search this name across graphsid dfx:ria:b427d952-9341-f14c-85f4-a114e5901a41

Data as of Jun 19, 2020 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:22 PM UTC and rebuilt at most every 15 minutes.

Relationships: 55
Dated events: 9
On other graphs: 1
Observed: Jan 27, 2012 to Jun 19, 2020
27 observations

Across DFX

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

Private Creditidentity

F•••• E•••• A••••••••• C••••• S••• L••

Private credit manager · 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: $2.6B••• Locked
Discretionary RAUM: $2.5B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 55
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
T•• C••••• L••• O••••••••• M••••• F•••	Hedge Fund	$551M	Apr 15, 2013	52	Mar 29, 2012	dropped	021-87105
W••• R•••• C•• I• • T••• I••••••••• L•••	Securitized Asset Fund	$379M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•• C• H••••••• G• L••••	GENERAL PARTNER	F	yes	01/2020	Feb 28, 2020	Jun 19, 2020
B•• C• H••••••• L•••	Shareholder	D	yes	01/2020	Feb 28, 2020	Jun 19, 2020

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
B••••••••• M••••••••• P••••••• L•••••	n/a	Asset manager	$146B	Y	yes	n/a
F•••• E•••• I••••••••• M••••••••• L••	n/a	Asset manager	$136B	Y	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	2	no
Boston	Ma	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
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
2019	$2.6B	$2.8B	-9.5%	$3.7B	-11.6%	55	55	2	2

Relationships

Affiliated with (10)

← B••••••••• R••• E••••• I••••• A••••••• L•••••Registered adviserother investment adviser, common control
factForm ADV
← B••••••••• T••••••• S•••••••• A••••••• L•••••Registered adviserother investment adviser, common control
factForm ADV
← B••••••••• R••• E••••• A••••••• I••••••••• L•••••Registered adviserother investment adviser, common control
factForm ADV
→ F•••• E•••• I••••••••• M••••••••• L••Registered adviser

Dated events

Occurred
Feb 28, 2020
Control person joined
••• Locked
Form ADVobserved 7 days ago
Occurred
Feb 28, 2020
Control person joined
••• Locked
Form ADVobserved 7 days ago
Occurred
Feb 28, 2020
Control person joined
••• Locked
Form ADVobserved 7 days ago
Occurred
Feb 28, 2020
Control person joined

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b427d952-9341-f14c-85f4-a114e5901a41
First observed: Jan 27, 2012
Last observed: Jun 19, 2020 76 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.

Controls (34)

← F•••• E•••• I••••••••• M••••••••• L••OwnerSOLE AND MANAGING MEMBER, ownership code E, foreign entity
Feb 28, 2020 to presentfactForm ADV
← C•••••• C•••••• L••OwnerGENERAL PARTNER, ownership code F, domestic entity
Feb 28, 2020 to presentfactForm ADV
← F••••••• J••••• R••OwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Jul 17, 2012 to presentfactForm ADV
← J••••••• D•••••• T••• I••••••OwnerSHAREHOLDER, ownership code E, individual
Feb 28, 2020 to presentfactForm ADV
← F••••• C••••••••• J•••OwnerPRESIDENT, ownership code NA, individual
Sep 2, 2014 to presentfactForm ADV
← M•••••• M••••• A•••OwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Feb 28, 2020 to presentfactForm ADV
← O••••••• D••••OwnerHEAD OF LEGAL & COMPLIANCE, SVP & CHIEF LEGAL OFFICER, ownership code NA, individual
Feb 28, 2020 to presentfactForm ADV
← M•••••• A•••••• J•OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Feb 28, 2020 to presentfactForm ADV
← O••••• T•••••••• W••••••OwnerCHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER, ownership code NA, individual
Jul 17, 2012 to presentfactForm ADV
← D••• M••••••OwnerCHIEF ADMINISTRATIVE OFFICER & SVP, ownership code NA, individual
Feb 28, 2020 to presentfactForm ADV
← D•••••• E•••• M•••••OwnerSHAREHOLDER, ownership code C, individual
Feb 28, 2020 to presentfactForm ADV
← R••••••••• S••••••OwnerGENERAL COUNSEL & SECRETARY, ownership code NA, individual
Jan 14, 2016 to presentfactForm ADV
← M••••••••• B••••OwnerHEAD OF FINANCE, SVP & TREASURER, ownership code NA, individual
Feb 28, 2020 to presentfactForm ADV
← B•• C• H••••••• G• L••••OwnerGENERAL PARTNER, ownership code F, domestic entity
Feb 28, 2020 to presentfactForm ADV
← B•• C• H••••••• L•••OwnerSHAREHOLDER, ownership code D, domestic entity
Feb 28, 2020 to presentfactForm ADV
← B••••••••• C•••••• P••••••• V• L•••OwnerMEMBER, ownership code D, domestic entity
Feb 28, 2020 to presentfactForm ADV
← B••••••••• H••••••• I•• G• L•••OwnerGENERAL PARTNER, ownership code F, domestic entity
Feb 28, 2020 to presentfactForm ADV
← B••••••••• H••••••• I•• G• M••••••••• L•••••OwnerGENERAL PARTNER, ownership code F, domestic entity
Mar 30, 2020 to presentfactForm ADV
← B••••••••• H••••••• I•• L•••OwnerMANAGING MEMBER, ownership code D, foreign entity
Feb 28, 2020 to presentfactForm ADV
← B••••••••• M••••••••• A••••••••• V• L•••••OwnerGENERAL PARTNER, ownership code F, domestic entity
Mar 30, 2020 to presentfactForm ADV
← B•• V• L•••••OwnerGENERAL PARTNER, ownership code F, domestic entity
Mar 30, 2020 to presentfactForm ADV
← C•••••• C•••••• G••••• L•••OwnerGENERAL PARTNER, ownership code F, foreign entity
Feb 28, 2020 to presentfactForm ADV
← C•••••• C•••••• P••••••• G••••• L•••OwnerGENERAL PARTNER, ownership code F, foreign entity
Mar 30, 2020 to presentfactForm ADV
← C•••••• C•••••• P•••••••• L•••OwnerLIMITED PARTNER, ownership code E, foreign entity
Mar 30, 2020 to presentfactForm ADV
← C•••••• I• F•••••••• S••••••• C•••••• P••••••• L•••OwnerMEMBER, ownership code D, foreign entity
Feb 28, 2020 to presentfactForm ADV
← C•••••• I• M••••••••• L•••OwnerGENERAL PARTNER, ownership code F, foreign entity
Feb 28, 2020 to presentfactForm ADV
← C•••••• M••••• I•••••••• L•••OwnerLIMITED PARTNER, ownership code E, foreign entity
Feb 28, 2020 to presentfactForm ADV
← C•••••• M••••• L•••OwnerLIMITED PARTNER, ownership code C, domestic entity
Feb 28, 2020 to presentfactForm ADV
← C•••••• M••••• M••••••••• L•••OwnerGENERAL PARTNER, ownership code F, foreign entity
Feb 28, 2020 to presentfactForm ADV
← C•••••• P••••••• M••••• M••••••••• L•••OwnerGENERAL PARTNER, ownership code F, domestic entity
Feb 28, 2020 to presentfactForm ADV
and 4 more