DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

T•••• C••••••• L••

CRD 168592

OAK BROOK, IL

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Search this name across graphsid dfx:ria:ca926b4c-04b6-50ee-b0ae-e99cd555931b

Data as of Mar 14, 2019 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 3
On other graphs: 0
Observed: Jun 26, 2017 to Mar 14, 2019
4 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
Regulatory AUM: $382M••• Locked
Discretionary RAUM: $382M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
W•••••• C•••••• S••••• F••• L•• • S••••• L• 2•	Hedge Fund	$33.5M	Mar 31, 2015	1	Aug 6, 2013	dropped	021-206513

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
T•••••••• J•••• A•••••	MANAGING MEMBER, CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER	E	yes	07/2013	Jun 26, 2017	Mar 14, 2019

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018	Mar 14, 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
2018	$382M	$211M	81.6%	n/a	n/a	4	4	1	1

Relationships

Controls (1)

← T•••••••• J•••• A•••••OwnerMANAGING MEMBER, CHIEF EXECUTIVE OFFICER AND CHIEF COMPLIANCE OFFICER, ownership code E, individual
Jun 26, 2017 to presentfactForm ADV

Advises (1)

→ W•••••• C•••••• S••••• F••• L•• • S••••• L• 2•Private fundHedge Fund, ERA, no longer reported
Aug 6, 2013 to Mar 31, 2015factForm ADV

Dated events

Occurred
Jul 19, 2018
Regulatory AUM changed
T•••• C••••••• L•• reported RAUM $479.8M, up 128% from $210.6M (2018-03-29 to 2018-07-19)
Form ADVobserved 7 days ago
$269M
Occurred
Mar 29, 2018
Regulatory AUM changed
T•••• C••••••• L•• reported RAUM $210.6M, down 80% from $1.1B (2017-06-26 to 2018-03-29)
Form ADVobserved 7 days ago
$-866M
Occurred
Jun 26, 2017
First Form ADV filing
T•••• C••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ca926b4c-04b6-50ee-b0ae-e99cd555931b
First observed: Jun 26, 2017
Last observed: Mar 14, 2019 91 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.