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CRD 123037
WHEATON, IL
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| HOAN SIEU TAUSSIG | Certified Financial Planner | WHEATON, IL | 14 | 19 | n/a | no |
| MARK TIMOTHY BERG | Certified Financial Planner | WHEATON, IL | 10 | 30 | n/a | no |
| KARA BETH VANCE | Certified Financial Planner | WHEATON, IL | 10 | 15 | 1 | no |
| Michael Scott Thrasher | Certified Financial Planner | WHEATON, IL | 10 | 11 | n/a | no |
| Lydia Newby | Certified Financial Planner | WHEATON, IL | 9 | 14 | n/a | no |
| Jacob Frerichs | Certified Financial Planner | WHEATON, IL | 8 | 13 | n/a | no |
| Luke Lamar | Certified Financial Planner|Chartered Financial Analyst | WHEATON, IL | 6 | 10 | n/a | no |
| Andrew Palmer Lindquist | n/a | WHEATON, IL | 5 | 11 | n/a | no |
| Aaron Dennis Deeke | Certified Financial Planner | WHEATON, IL | 4 | 14 | n/a | no |
| Joshua Michael Henderson | Certified Financial Planner | WHEATON, IL | 4 | 11 | n/a | no |
| Andrew John Swierenga | n/a | WHEATON, IL | 3 | 15 | n/a | no |
| Samuel Ogles | Certified Financial Planner | WHEATON, IL | 3 | 12 | 1 | no |
| JOHN WILLIAM MCHENNEY | Chartered Financial Analyst | WHEATON, IL | 2 | 13 | 2 | no |
| VICENTE D ERENETA | n/a | WHEATON, IL | 1 | 10 | n/a | no |
| Haili Ann Cochran | n/a | WHEATON, IL | 1 | 10 | n/a | no |
| Elizabeth Gieser | n/a | WHEATON, IL | 1 | 10 | n/a | no |
| Jaxon Wayne Bennett | n/a | WHEATON, IL | 1 | 20 | n/a | no |
| KATIE ARENDT Macek | Certified Financial Planner | WHEATON, IL | 1 | 26 | 1 | no |
| Ethan Jacob Hulgaard | n/a | WHEATON, IL | 0 | 11 | n/a | no |
| Cassandra Kaye Duehring | n/a | WHEATON, IL | 0 | 18 | n/a | no |
| Seth McGowan Woodward | n/a | WHEATON, IL | 0 | 12 | n/a | no |
| Tannen Jacob Reed | n/a | WHEATON, IL | 0 | 11 | n/a | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| BERG, MARK, TIMOTHY | CHIEF EXECUTIVE OFFICER | D | yes | 07/2019 | Jan 14, 2022 | Oct 25, 2024 |
| Frerichs, Jacob | PRINCIPAL AND LEAD ADVISOR | Na | no | 01/2023 | Jan 24, 2024 | Oct 25, 2024 |
| Newby, Lydia | PRINCIPAL AND FINANCIAL ADVISOR | Na | no | 01/2023 | Jan 24, 2024 | Oct 25, 2024 |
| TAUSSIG, HOAN, SIEU | Principal | B | no | 01/2015 | Jan 14, 2022 | Oct 25, 2024 |
| Thrasher, Michael, Scott | PRINCIPAL AND LEAD ADVISOR | A | no | 07/2015 | Jan 14, 2022 | Oct 25, 2024 |
| VANCE, KARA, BETH | PRINCIPAL AND LEAD ADVISOR | Na | no | 01/2021 | Jan 14, 2022 | Oct 25, 2024 |
| WILDMAN, BRIAN, JAMES | CHIEF COMPLIANCE OFFICER | B | no | 01/2020 | Jan 14, 2022 | Oct 25, 2024 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Feb 9, 2026 | $0 | $0 | 20 | 20 | 0 | n/a | n/a |
| 2024 | Jan 10, 2025 | $0 | $0 | 18 | 18 | 0 | n/a | n/a |
| 2023 | Jan 24, 2024 | n/a | n/a | 17 | 14 | 0 | n/a | n/a |
| 2022 | Feb 14, 2023 | n/a | n/a | 17 | 14 | 0 | n/a | n/a |
| 2021 | Mar 15, 2022 | n/a | n/a | 16 | 15 | 0 | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 0 | 0 | 0.0% | 0 | 0 | 0 | 2 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $0 | $0 | n/a | n/a | n/a | 20 | 18 | 0 | 0 |