DFX Intelligence

S• I••••••••• A•••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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

S• I••••••••• A•••••••

S• I••••••••• I•••, CRD 6564

HIGHLAND PARK, IL

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Search this name across graphsid dfx:ria:d586f45c-0644-912b-5084-833ef5234867

Data as of Sep 28, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Sep 28, 2012
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: $438M••• Locked
Discretionary RAUM: $438M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 455
SEC number

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••• S•••••• G••• T••••	SHAREHOLDER - TRUSTEE IS A CONTOL PERSON; NON -VOTING SHARES	C	yes	05/2009	Mar 30, 2012	Sep 28, 2012
J•••• G••• A•••	CHIEF FINANCIAL OFFICER/FINANCIAL AND OPERATIONS PRINCIPAL	Na	yes	04/2008	Mar 30, 2012	Sep 28, 2012

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S• I••••••••• I•••	n/a	Former SEC adviser	$438M	Y	yes	n/a
N•• V••••• I••••••••• M••••••••• L••	n/a	Asset manager	$116M	N	no	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 30, 2012	$469M	$469M	n/a	n/a	n/a	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$438M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Affiliated with (4)

← N•• V••••• I••••••••• M••••••••• L••Registered adviserbroker-dealer, common control
factForm ADV
← NEW V••••• WEALTH MANAGEMENT LLCRegistered adviserbroker-dealer, common control
factForm ADV
→ N•• V••••• I••••••••• M••••••••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor
factForm ADV
→ S• I••••••••• A•••••••Registered adviserbroker-dealer, control, common control

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d586f45c-0644-912b-5084-833ef5234867
First observed: Mar 30, 2012
Last observed: Sep 28, 2012 170 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.