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

PPCM, INC.

PARK PLACE CAPITAL MANAGEMENT, INC., CRD 105154

MILWAUKEE, WI

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:cd94a67b-84da-976a-0b28-7e3890f3c816

Data as of Feb 23, 2017 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 9, 2012 to Feb 23, 2017
11 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: $802MItem 5.F on the latest filing (2017-02-23); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $253M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees: 3
Accounts: 140
Custody, client assets: $1.2M
SEC number: 801-25182
CRD: 105154
Filings on the tape: 11
First filed: Mar 9, 2012
Latest filed: Feb 23, 2017
Organised: Corporation, Wisconsin

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
DOUGHERTY-KLEIN, KATHLEEN, ANNE	SENIOR CONSULTANT AND VICE PRESIDENT	Na	yes	05/2015	Mar 15, 2016	Feb 23, 2017
FORD, LEE, ADRIAN	DIRECTOR OF FINANCIAL SERVICES, EXECUTIVE VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER (01/2017)	Na	yes	05/2015	Mar 15, 2016	Feb 23, 2017
PERRY, WILLIAM, MICHAEL	President	E	yes	07/1985	Mar 9, 2012	Feb 23, 2017

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
2016	Feb 23, 2017	$802M	$253M	7	3	n/a	n/a	n/a
2015	Mar 15, 2016	$788M	$271M	7	3	n/a	n/a	n/a
2014	Mar 6, 2015	$791M	$200M	6	3	n/a	n/a	n/a
2013	Mar 10, 2014	$433M	$148M	5	2	n/a	n/a	n/a
2012	Mar 1, 2013	$408M	$159M	4	1	n/a	n/a	n/a
2011	Mar 9, 2012	$378M	$154M	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
2016	$802M	$788M	1.8%	$433M	22.8%	7	7	n/a	n/a

Relationships

Controls (3)

← DOUGHERTY-KLEIN, KATHLEEN, ANNEOwnerSENIOR CONSULTANT AND VICE PRESIDENT, ownership code NA, individual
Mar 15, 2016 to presentfactForm ADV
← PERRY, WILLIAM, MICHAELOwnerPRESIDENT, ownership code E, individual
Mar 9, 2012 to presentfactForm ADV
← FORD, LEE, ADRIANOwnerDIRECTOR OF FINANCIAL SERVICES, EXECUTIVE VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER (01/2017), ownership code NA, individual
Mar 15, 2016 to presentfactForm ADV

Registered with (3)

← KATHLEEN DOUGHERTY-KLEINAdvisorregistration: previous registration
Mar 10, 2014 to Jan 9, 2018factForm ADV
← SCOTT MICHAEL CONGERAdvisorregistration: previous registration
Jan 7, 2016 to Feb 29, 2016factForm ADV
← GLEN FREDRICK COLWELLAdvisorregistration: previous registration
May 4, 2005 to Nov 1, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cd94a67b-84da-976a-0b28-7e3890f3c816
First observed: Mar 9, 2012
Last observed: Feb 23, 2017 116 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.

PPCM, INC.

PARK PLACE CAPITAL MANAGEMENT, INC., CRD 105154

MILWAUKEE, WI

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:cd94a67b-84da-976a-0b28-7e3890f3c816

Data as of Feb 23, 2017 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:16 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DOUGHERTY-KLEIN, KATHLEEN, ANNE

SENIOR CONSULTANT AND VICE PRESIDENT

yes

05/2015

Mar 15, 2016

Feb 23, 2017

FORD, LEE, ADRIAN

DIRECTOR OF FINANCIAL SERVICES, EXECUTIVE VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER (01/2017)

yes

05/2015

Mar 15, 2016

Feb 23, 2017

PERRY, WILLIAM, MICHAEL

President

yes

07/1985

Mar 9, 2012

Feb 23, 2017

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Feb 23, 2017

$802M

$253M

n/a

2015

Mar 15, 2016

$788M

$271M

n/a

2014

Mar 6, 2015

$791M

$200M

n/a

2013

Mar 10, 2014

$433M

$148M

n/a

2012

Mar 1, 2013

$408M

$159M

n/a

2011

Mar 9, 2012

$378M

$154M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

$802M

$788M

1.8%

$433M

22.8%

n/a