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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

W••••••• • C•

CRD 104633

OAK BROOK, IL

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Search this name across graphsid dfx:ria:cda9537c-4511-c129-a13d-6f3a8e427450

Data as of Mar 26, 2021 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:43 AM UTC and rebuilt at most every 15 minutes.

Relationships: 27
Dated events: 14
On other graphs: 0
Observed: Nov 9, 2011 to Mar 26, 2021
40 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: $1.2B••• Locked
Discretionary RAUM: $1.1B
Private client RAUM: $1.1Bderived••• Locked
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 25

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••••• B••••••••	SOLE SHAREHOLDER	E	yes	01/1995	Oct 27, 2017	Mar 26, 2021
A••••••••• B•••• N•••	SOLE SHAREHOLDER	E	yes	05/2016	Oct 27, 2017	Mar 26, 2021

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
K•••••• A•••• M••••••••• L••	n/a	Other adviser	$2.9B	N	yes	n/a
A••••••••• I••••••••• S•••••••• I•••	n/a	Independent wealth	$1.2B	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
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
2019	$1.2B	$940M	24.2%	$940M	7.5%	25	25	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
R••••••••• C•••••• M•••••••••	11	Mar 15, 2021	Mar 1, 2021	OAK BROOK, IL	Firm absorbed	RIA to ibd	100.0%

Relationships

Affiliated with (2)

→ A••••••••• I••••••••• S•••••••• I•••Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ K•••••• A•••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV

Controls (8)

← J••••• W••••• M••••••OwnerPRESIDENT, FINANCIAL PLANNING, ownership code NA, individual
Nov 9, 2011 to presentfactForm ADV
← H••••••••• B••••• J••••Owner

Dated events

Occurred
Mar 26, 2021
Control person left
Jorge Christopher Del Moral-Niles (Director - Board Of Directors) no longer on Schedule A of W••••••• • C• (listed 2020-10-15, absent 2021-03-26)
Form ADVobserved 7 days ago
Occurred
Mar 26, 2021
Control person left
David Michael Kuipers (Director - Board Of Directors) no longer on Schedule A of W••••••• • C• (listed 2020-10-15, absent 2021-03-26)
Form ADVobserved 7 days ago
Occurred
Mar 26, 2021
Control person left
Parker John Thayer (Chief Executive Officer) no longer on Schedule A of W••••••• • C• (listed 2020-10-15, absent 2021-03-26)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cda9537c-4511-c129-a13d-6f3a8e427450
First observed: Nov 9, 2011
Last observed: Mar 26, 2021 66 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.