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P•••••••• C•••••• 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

P•••••••• C•••••• A•••••••• I••

CRD 156341

CHICAGO, IL

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Search this name across graphsid dfx:ria:b5270900-cac2-59a7-f560-dcc3cd20e15b

Data as of Mar 30, 2012 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 0
On other graphs: 0
Observed: Feb 15, 2012 to Mar 30, 2012
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
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Advisory employees: 0
SEC number: 801-72659
CRD: 156341
Filings on the tape: 3
First filed: Feb 15, 2012

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
A••••• N•••• J••••••	CHAIRMAN/D•••••OR	Na	yes	05/2011	Feb 15, 2012	Mar 30, 2012
C••••••••• J•••• M•••	President	Na	yes	05/2011	Feb 15, 2012

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
P•••••••• D••••••••• I••••••••• S••••••• C••••	n/a	Former SEC adviser	$220M	N	yes	n/a
B••• D••••• S••••••••• L••	n/a	n/a	n/a	N

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
2011	Mar 30, 2012	n/a	n/a	n/a	0	n/a	n/a	n/a

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
2011	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Affiliated with (2)

← P•••••••• D••••••••• I••••••••• S••••••• C••••Registered adviserother investment adviser, common control
factForm ADV
→ P•••••••• D••••••••• I••••••••• S••••••• C••••Registered adviserother investment adviser, common control
factForm ADV

Controls (6)

← T•••••••• R•••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Feb 15, 2012 to presentfactForm ADV
← W••••••••• R••••••• R•Owner

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b5270900-cac2-59a7-f560-dcc3cd20e15b
First observed: Feb 15, 2012
Last observed: Mar 30, 2012 176 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.