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CRD 111331
SOUTH BEND, IN
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.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| 1•• S••••• B••• | Owner | E | yes | 01/2001 | Nov 21, 2011 | Mar 13, 2020 |
| G••••••• P•••• W•••• | PRESIDENT/CHIEF INVESTMENT OFFICER/CHAIRMAN OF THE BOARD | Na | yes | 07/2001 | Nov 21, 2011 | Mar 13, 2020 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| FORT W•••• | In | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2019 | $3.5B | $3.7B | -5.3% | $3.0B | 5.3% | 9 | 9 | 1 | 1 |
| Director |
| Na |
| yes |
| 01/2013 |
| Mar 18, 2013 |
| Mar 13, 2020 |
| S••••••••• W••••••• C••••••••• | Director | Na | yes | 10/2016 | Oct 21, 2016 | Mar 13, 2020 |
| C••••• J•••••••• W•••••• | PORTFOLIO MANAGER/OFFICER | Na | no | 07/2018 | Jan 18, 2019 | Mar 13, 2020 |
| C••••••••• E•••• D•••• | VICE PRESIDENT/FIXED INCOME PORTFOLIO MANAGER | Na | no | 04/2015 | May 27, 2015 | Mar 13, 2020 |
| C•••••• J••••• W••••• | VICE PRESIDENT/PORTFOLIO MANAGER | Na | no | 07/2002 | Nov 21, 2011 | Mar 13, 2020 |
| D••••• C••••••••• M••• | VICE PRESIDENT/PORTFOLIO MANAGER | Na | no | 05/2015 | May 27, 2015 | Mar 13, 2020 |
| K•••• N•••••• A•••• | VICE PRESIDENT/PORTFOLIO MANAGER | Na | no | 01/2014 | Mar 24, 2015 | Mar 13, 2020 |
| K••••••••• J••••••••• A•• | VICE PRESIDENT/PORTFOLIO MANAGER | Na | no | 11/2015 | Mar 20, 2017 | Mar 13, 2020 |
| R•••••• R•••••• E••••• | VICE PRESIDENT/PORTFOLIO MANAGER | Na | no | 08/2010 | Nov 21, 2011 | Mar 13, 2020 |
| S••••• T•••••• L• | CHIEF COMPLIANCE OFFICER/SECRETARY/TREASURER | Na | no | 01/2007 | Nov 21, 2011 | Mar 13, 2020 |
| Mar 13, 2020 |
| $3.5B |
| $3.5B |
| 9 |
| 9 |
| 1 |
| n/a |
| n/a |
| 2018 | Jan 18, 2019 | $3.7B | $3.7B | 9 | 9 | 1 | n/a | n/a |
| 2017 | Mar 30, 2018 | $4.5B | $4.5B | 10 | 10 | 1 | n/a | n/a |
| 2016 | Mar 20, 2017 | $3.0B | $3.0B | 12 | 10 | n/a | n/a | n/a |
| 2015 | Mar 17, 2016 | $3.0B | $3.0B | 11 | 9 | n/a | n/a | n/a |
| 2014 | Mar 24, 2015 | $2.8B | $2.8B | 8 | 6 | n/a | n/a | n/a |
| 2013 | Mar 10, 2014 | $2.9B | $2.9B | 10 | 8 | n/a | n/a | n/a |
| 2012 | Mar 18, 2013 | $2.4B | $2.4B | 10 | 9 | n/a | n/a | n/a |
| 2011 | Mar 23, 2012 | $2.6B | $2.6B | n/a | n/a | n/a | n/a | n/a |