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CRD 110302
DOWNERS GROVE, 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 |
|---|---|---|---|---|---|---|
| R•••••• T••••••• P•••••• | Personal Financial Specialist|Chartered Financial Analyst | Downers Grove, IL | 28 | 39 | n/a | no |
| W•••••• G••• W••••• | Certified Financial Planner | DOWNERS GROVE, IL | Henderson, NV | 27 | 34 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| B••••• A•••• C••••• | SHAREHOLDER, CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER | Na | yes | 01/2025 | Mar 23, 2026 | Mar 23, 2026 |
| C••••• O••••• H••••• | SHAREHOLDER AND CHIEF CLIENT SOLUTIONS OFFICER | Na | yes | 01/2022 | Mar 23, 2026 | Mar 23, 2026 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Sarasota | FL | United States | 1 | no |
| Bloomington | Mn | United States | 1 | no |
| Milwaukee | Wi | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 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 | 5 | 3 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $7.5B | $6.4B | 17.8% | $4.5B | 18.6% | 103 | 96 | 3 | 3 |
| no |
| A•••••• D•••• C••••••• | Certified Financial Planner | Fernandina Beach, FL | Downers Grove, IL | 26 | 26 | n/a | no |
| M•••••• A••••• W•••• | n/a | Saint Petersburg, FL | Downers Grove, IL | 24 | 27 | n/a | no |
| M••••••• P•••• R••••••• | Certified Financial Planner | Downers Grove, IL | 23 | 21 | n/a | no |
| M•••••• J•••• G•••• | Certified Financial Planner | Downers Grove, IL | 22 | 19 | n/a | no |
| J•••• R••••• O••••••• | Certified Financial Planner | DOWNERS GROVE, IL | Bradenton, FL | 16 | 15 | n/a | no |
| W•••••• R••••• G••••• | Certified Financial Planner | Downers Grove, IL | 15 | 23 | n/a | no |
| J••••• H••••• L•••• | Certified Financial Planner | Downers Grove, IL | 15 | 23 | n/a | no |
| J••••• M•••• G••••• | Certified Financial Planner | DOWNERS GROVE, IL | 10 | 10 | n/a | no |
| B•••• C••••••••• V••••••• | Certified Financial Planner | DOWNERS GROVE, IL | 9 | 13 | n/a | no |
| E••• J••••••• F•••• | Certified Financial Planner | DOWNERS GROVE, IL | 8 | 15 | n/a | no |
| W•••••• D•••••• A•••••••• | Certified Financial Planner | DOWNERS GROVE, IL | 7 | 12 | n/a | no |
| B•••• M•••••• L••••• | Certified Financial Planner | BLOOMINGTON, MN | DOWNERS GROVE, IL | 7 | 12 | n/a | no |
| J••• K••••••••• | Certified Financial Planner | DOWNERS GROVE, IL | 7 | 15 | 1 | no |
| T•••••• R•••••• S••••••• | Certified Financial Planner | DOWNERS GROVE, IL | 7 | 12 | 1 | no |
| T••• E•••• K•••••• | n/a | DOWNERS GROVE, IL | 7 | 13 | n/a | no |
| A•••• W••••• N••• | Certified Financial Planner | SARASOTA, FL | 6 | 21 | 2 | no |
| O•••• H••••• C•••• | n/a | DOWNERS GROVE, IL | 6 | 28 | 1 | no |
| J••• S• W•••• | Certified Financial Planner|Chartered Financial Analyst | DOWNERS GROVE, IL | 6 | 31 | n/a | no |
| J••• H••••• B•••••• | Certified Financial Planner | DOWNERS GROVE, IL | 6 | 16 | 1 | no |
| E••• S••• B•••••••• | Certified Financial Planner | DOWNERS GROVE, IL | 6 | 10 | n/a | no |
| J••••• M••••• K•••••••• | Certified Financial Planner | DOWNERS GROVE, IL | 5 | 11 | n/a | no |
| M••••• V•••••• | Certified Financial Planner|Chartered Financial Analyst | DOWNERS GROVE, IL | Pewaukee, WI | 5 | 34 | 4 | no |
| M••••• M•••• C•••••• | Certified Financial Planner | DOWNERS GROVE, IL | 5 | 13 | 1 | no |
| C•••••••• A••••••• D•••• | SHAREHOLDER AND CHIEF EXECUTIVE OFFICER | B | yes | 07/2007 | Mar 23, 2026 | Mar 23, 2026 |
| G•••••• W••••••• R••••• | SHAREHOLDER AND CHIEF INVESTMENT OFFICER | Na | yes | 01/2017 | Mar 23, 2026 | Mar 23, 2026 |
| J•••••••• D•••••• R••••• | SHAREHOLDER AND CHIEF TECHNOLOGY OFFICER | Na | yes | 01/2018 | Mar 23, 2026 | Mar 23, 2026 |
| K•••••• K•••• J••••• | SHAREHOLDER AND CHIEF TALENT OFFICER | Na | yes | 01/2023 | Mar 23, 2026 | Mar 23, 2026 |
| O••••••• J••••• R••••• | SHAREHOLDER AND PRESIDENT | B | yes | 01/2015 | Mar 23, 2026 | Mar 23, 2026 |
| S••••••• D•••• | SHAREHOLDER AND SENIOR DIRECTOR OF TALENT OPERATIONS | Na | yes | 08/2025 | Mar 23, 2026 | Mar 23, 2026 |
| V•••••••• B••••• C••••••••• | Shareholder | A | yes | 01/2021 | Mar 23, 2026 | Mar 23, 2026 |
| D•••••• J••••••• G•••• | SHAREHOLDER AND CHIEF COMPLIANCE OFFICER | Na | yes | 01/2019 | Jan 15, 2019 | Sep 25, 2024 |
| G•••••• Y•••••• C••• | SHAREHOLDER, CO-CHIEF OPERATING OFFICER, CHIEF MARKETING OFFICER, AND SECRETARY | A | yes | 08/1998 | Feb 27, 2012 | Sep 25, 2024 |
| W•••••• W••••••• G••• | SHAREHOLDER AND CO-CHIEF INVESTMENT OFFICER | B | yes | 07/2007 | Feb 27, 2012 | Sep 25, 2024 |
| F••••• E•••• J••••••• | Shareholder | Na | no | 01/2022 | Mar 23, 2026 | Mar 23, 2026 |
| G••••• M••••••• J•••• | Shareholder | A | no | 01/2012 | Mar 23, 2026 | Mar 23, 2026 |
| K••••••• T•••• E•••• | Shareholder | Na | no | 01/2023 | Mar 23, 2026 | Mar 23, 2026 |
| L••••• J•••••• H••••• | Shareholder | A | no | 01/2019 | Mar 23, 2026 | Mar 23, 2026 |
| N•••• A••••• W••••• | Shareholder | Na | no | 01/2023 | Mar 23, 2026 | Mar 23, 2026 |
| R•••••••• M•••••••• P•••• | Shareholder | B | no | 01/2020 | Mar 23, 2026 | Mar 23, 2026 |
| D••••• W••••••• E••••• | Shareholder | A | no | 01/2001 | Feb 27, 2012 | Sep 25, 2024 |
| M•••••• D••••• S••• | Shareholder | A | no | 01/2005 | Feb 27, 2012 | Sep 25, 2024 |
| W••••• M••••••• A••••• | SHAREHOLDER, VICE PRESIDENT OF FINANCE, AND TREASURER | B | no | 07/2007 | Feb 27, 2012 | Sep 25, 2024 |
| Mar 23, 2026 |
| $7.5B |
| $7.2B |
| 103 |
| 66 |
| 3 |
| n/a |
| n/a |
| 2024 | Mar 19, 2025 | $6.4B | $6.1B | 96 | 64 | 3 | n/a | n/a |
| 2023 | Mar 6, 2024 | $5.4B | $5.2B | 63 | 63 | 3 | n/a | n/a |
| 2022 | Mar 17, 2023 | $4.5B | $4.3B | 64 | 64 | 2 | n/a | n/a |
| 2021 | Mar 16, 2022 | $4.7B | $4.5B | 56 | 55 | 3 | n/a | n/a |
| 2020 | Mar 18, 2021 | $3.8B | $3.6B | 54 | 53 | 3 | n/a | n/a |
| 2019 | Mar 18, 2020 | $3.3B | $3.2B | 53 | 48 | 4 | n/a | n/a |
| 2018 | Mar 18, 2019 | $2.7B | $2.5B | 42 | 41 | 2 | n/a | n/a |
| 2017 | Mar 16, 2018 | $2.6B | $2.4B | 34 | 33 | 1 | n/a | n/a |
| 2016 | Mar 17, 2017 | $2.1B | $1.9B | 35 | 34 | n/a | n/a | n/a |
| 2015 | Mar 8, 2016 | $1.9B | $1.7B | 34 | 33 | n/a | n/a | n/a |
| 2014 | Mar 10, 2015 | $1.9B | $1.7B | 34 | 33 | n/a | n/a | n/a |
| 2013 | Mar 10, 2014 | $1.7B | $1.6B | 32 | 31 | n/a | n/a | n/a |
| 2012 | Mar 13, 2013 | $1.5B | $1.5B | 33 | 32 | n/a | n/a | n/a |
| 2011 | Feb 27, 2012 | $1.3B | $1.3B | n/a | n/a | n/a | n/a | n/a |