DFX Intelligence

Data Factory

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

FRONT BARNETT ASSOCIATES LLC

CRD 106193

CHICAGO, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:cb7fa40b-d415-8321-2f2a-9f076cac8b20

Data as of Jul 17, 2023 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 3
On other graphs: 0
Observed: Jan 24, 2012 to Jul 17, 2023
32 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: $999MItem 5.F on the latest filing (2023-07-17); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $994M
Private client RAUM: $856MderivedItem 5.D individuals plus high net worth individuals
Private client share: 86%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 9
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 602
Individual clients: 35
High net worth clients: 257
Custody, client assets: $1.1B
SEC number: 801-46599
CRD: 106193
Filings on the tape: 32
First filed: Jan 24, 2012
Latest filed: Jul 17, 2023
Organised: Limited Liability Company, Delaware

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
FRONT, MARSHALL, BERNARD	MANAGING MEMBER	E	yes	05/1994	Jan 24, 2012	Jul 17, 2023
FRONT, MARSHALL, BERNARD	MANAGING MEMBER, AND CHIEF COMPLIANCE OFFICER	Na	yes	05/1994	Jan 24, 2012	Jul 17, 2023
MACMILLAN, MICHAEL, ROSS	Cfo	Na	no	08/2015	Mar 15, 2016	Jul 17, 2023
TREES FRONT ASSOCIATES INCORPORATED	Member	E	no	07/1999	Jan 24, 2012	Jul 17, 2023

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
2022	Feb 22, 2023	$999M	$994M	9	3	0	n/a	n/a
2021	Mar 1, 2022	$1.3B	$1.3B	10	4	0	n/a	n/a
2020	Mar 9, 2021	$1.1B	$1.1B	10	4	0	n/a	n/a
2019	Mar 11, 2020	$902M	$897M	10	4	0	n/a	n/a
2018	Mar 19, 2019	$751M	$746M	10	4	0	n/a	n/a
2017	Mar 19, 2018	$807M	$801M	10	4	0	n/a	n/a
2016	Mar 21, 2017	$723M	$718M	11	4	n/a	n/a	n/a
2015	Mar 15, 2016	$706M	$701M	11	4	n/a	n/a	n/a
2014	Mar 25, 2015	$745M	$740M	9	5	n/a	n/a	n/a
2013	Mar 20, 2014	$703M	$697M	6	4	n/a	n/a	n/a
2012	Mar 27, 2013	$587M	$582M	9	5	n/a	n/a	n/a
2011	Mar 14, 2012	$507M	$507M	n/a	n/a	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
2022	$999M	$1.3B	-20.7%	$902M	3.5%	9	10	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.	2	Dec 4, 2023	Oct 2, 2023	CHICAGO, IL	Team lift out	Other	100.0%

Relationships

Controls (1)

← FRONT, MARSHALL, BERNARDOwnerMANAGING MEMBER, ownership code E, individual
Jan 24, 2012 to presentfactForm ADV

Owns (2)

← MACMILLAN, MICHAEL, ROSSOwnerCFO, ownership code NA, individual
Mar 15, 2016 to presentfactForm ADV
← TREES FRONT ASSOCIATES INCORPORATEDOwnerMEMBER, ownership code E, domestic entity
Jan 24, 2012 to presentfactForm ADV

Registered with (4)

← Marshall B FrontAdvisorregistration: previous registration
Feb 7, 1998 to Dec 4, 2023factForm ADV
← Michael R MacMillanAdvisorregistration: previous registration
Oct 7, 2009 to Dec 4, 2023factForm ADV
← PETER LORING GOLDMANAdvisorregistration: previous registration
Feb 1, 2010 to May 20, 2014factForm ADV
← JENNIFER M KANEAdvisorregistration: previous registration
Feb 25, 2009 to Apr 24, 2013factForm ADV

Moved with (1)

→ MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.Registered adviser2 advisors, team lift out, same day
Dec 4, 2023 to Oct 2, 2023factForm ADV

Dated events

Occurred
Dec 4, 2023
Team lift-out
2 advisors left Front Barnett Associates LLC (Chicago, IL) for Mesirow Financial Investment Management, Inc. on the same day
Form ADVobserved 3 days ago
2 advisors
Occurred
Dec 4, 2023
Advisor changed firm
Michael R Macmillan left Front Barnett Associates Llc for Mesirow Financial Investment Management, Inc. (registered 2023-10-02)
Form ADVobserved 3 days ago
Occurred
Dec 4, 2023
Advisor changed firm
Marshall B Front left Front Barnett Associates Llc for Mesirow Financial Investment Management, Inc. (registered 2023-10-02)
Form ADVobserved 3 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cb7fa40b-d415-8321-2f2a-9f076cac8b20
First observed: Jan 24, 2012
Last observed: Jul 17, 2023 38 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.

FRONT BARNETT ASSOCIATES LLC

CRD 106193

CHICAGO, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:cb7fa40b-d415-8321-2f2a-9f076cac8b20

Data as of Jul 17, 2023 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:16 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FRONT, MARSHALL, BERNARD

MANAGING MEMBER

yes

05/1994

Jan 24, 2012

Jul 17, 2023

FRONT, MARSHALL, BERNARD

MANAGING MEMBER, AND CHIEF COMPLIANCE OFFICER

yes

05/1994

Jan 24, 2012

Jul 17, 2023

MACMILLAN, MICHAEL, ROSS

Cfo

08/2015

Mar 15, 2016

Jul 17, 2023

TREES FRONT ASSOCIATES INCORPORATED

Member

07/1999

Jan 24, 2012

Jul 17, 2023

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2022

Feb 22, 2023

$999M

$994M

n/a

2021

Mar 1, 2022

$1.3B

n/a

2020

Mar 9, 2021

$1.1B

n/a

2019

Mar 11, 2020

$902M

$897M

n/a

2018

Mar 19, 2019

$751M

$746M

n/a

2017

Mar 19, 2018

$807M

$801M

n/a

2016

Mar 21, 2017

$723M

$718M

n/a

2015

Mar 15, 2016

$706M

$701M

n/a

2014

Mar 25, 2015

$745M

$740M

n/a

2013

Mar 20, 2014

$703M

$697M

n/a

2012

Mar 27, 2013

$587M

$582M

n/a

2011

Mar 14, 2012

$507M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2022

$999M

$1.3B

-20.7%

$902M

3.5%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.

Dec 4, 2023

Oct 2, 2023

CHICAGO, IL

Team lift out

Other

100.0%