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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 10b 100b

C•••••••• B••••••• I••••••••• S•••••••• I•••

CRD 104604

CHICAGO, IL

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Search this name across graphsid dfx:ria:d9e74dd9-22d4-5564-0381-c25f76a025c4

Data as of Mar 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 22
Dated events: 16
On other graphs: 0
Observed: Mar 28, 2012 to Mar 26, 2026
50 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: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=10.0
Regulatory AUM: $12BItem 5.F on the latest filing (2026-03-26); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $12B
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: 1
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J•••• B•••••• H••••	n/a	CHICAGO, IL	0	11	3	yes

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C••• G••••• F•••• P•• W•••• E••••• F••• ••••	Other Private Fund	$497M	Mar 22, 2024	33	Apr 19, 2018	reported	021-162023
C••• G••••• F•••• W•••• B••• F•••	Other Private Fund	$330M

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
C•••••••• B••••••• O• T•• M•••••• D•••••••	Shareholder	B	yes	07/1995	Mar 28, 2012	Mar 22, 2024
D• L•••••• I••••••••	Shareholder	B	yes	09/1988	Mar 28, 2012

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; showing 15 of 16

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	0	1	0.0%	0	0	0	1	0

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
2025	$12B	$12B	3.5%	$9.2B	9.2%	38	34	1	0

Relationships

Registered with (2)

← J•••• B•••••• H••••Advisorregistration: current employment
Mar 4, 2026 to presentfactForm ADV
← SANDRA JEAN SHOTWELL-CAINAdvisorregistration: previous registration
Feb 26, 1998 to Jun 21, 2004factForm ADV

Advises (6)

→ C••• G••••• F•••• E••••••• E••••• F•••Private fundOther Private Fund, IA
Mar 28, 2013 to presentfactForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Mar 22, 2024
Control person left
Paul Ainslie (Executive Vice President) no longer on Schedule A of C•••••••• B••••••• I••••••••• S•••••••• I••• (listed 2023-07-21, absent 2024-03-22)
Form ADVobserved 7 days ago
Occurred
Mar 22, 2024
Control person joined
Cecelia Christine Novotny (Chief Operating Officer) appeared on Schedule A of C•••••••• B••••••• I••••••••• S•••••••• I•••
Form ADVobserved 7 days ago
Occurred
Mar 22, 2024
Control person joined
Ann Carolyn Shields (Chief Financial Officer) appeared on Schedule A of C•••••••• B••••••• I••••••••• S•••••••• I•••
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d9e74dd9-22d4-5564-0381-c25f76a025c4
First observed: Mar 28, 2012
Last observed: Mar 26, 2026 6 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.

Controls (13)

← M•••••• J••••••• A•••OwnerPRESIDENT & CHIEF EXECUTIVE OFFICER, ownership code NA, individual
Jun 12, 2017 to Mar 22, 2024factForm ADV
← R••••• W••••••• R•••••OwnerDIRECTOR, ownership code NA, individual
Mar 28, 2012 to Mar 22, 2024factForm ADV
← M•••••• E•••••• P••••••OwnerDIRECTOR, ownership code NA, individual
Jul 22, 2016 to Mar 22, 2024factForm ADV
← G••••••••• J•••• W•••••OwnerCHIEF INVESTMENT OFFICER; ASSISTANT SECRETARY, ownership code NA, individual
May 22, 2014 to Mar 22, 2024factForm ADV
← S••••••• C••••••• A••OwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 22, 2024 to Mar 22, 2024factForm ADV
← G••••••• P•••••OwnerDIRECTOR, ownership code NA, individual
Mar 28, 2013 to Mar 22, 2024factForm ADV
← R••••• P••••••• M•••••OwnerDIRECTOR, ownership code NA, individual
Oct 25, 2019 to Mar 22, 2024factForm ADV
← H•••••••• R••••••OwnerDIRECTOR, ownership code NA, individual
Jul 26, 2022 to Mar 22, 2024factForm ADV
← N••••••• C••••••••• C••••••OwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Mar 22, 2024 to Mar 22, 2024factForm ADV
← C•••••••• B••••••• O• T•• M•••••• D•••••••OwnerSHAREHOLDER, ownership code B, domestic entity
Mar 28, 2012 to Mar 22, 2024factForm ADV
← D• L•••••• I••••••••OwnerSHAREHOLDER, ownership code B, domestic entity
Mar 28, 2012 to Mar 22, 2024factForm ADV
← F••••• D•• E••••• C•••••••••OwnerSHAREHOLDER, ownership code B, domestic entity
Oct 31, 2013 to Mar 22, 2024factForm ADV
← F•• D••• T••••OwnerSHAREHOLDER, ownership code B, domestic entity
Mar 28, 2012 to Mar 22, 2024factForm ADV

2025	Mar 26, 2026	$12B	$12B	38	3	1	n/a	n/a
2024	Mar 25, 2025	$12B	$12B	34	3	0	5	n/a
2023	Mar 22, 2024	$11B	$11B	34	4	0	5	$1.1B
2022	Mar 30, 2023	$9.2B	$9.2B	32	8	0	5	$1.0B
2021	Mar 28, 2022	$11B	$11B	34	8	0	5	$1.6B
2020	Mar 26, 2021	$9.5B	$9.5B	38	19	1	5	$974M
2019	Mar 10, 2020	$8.2B	$8.2B	40	16	1	5	$761M
2018	Mar 29, 2019	$6.9B	$6.9B	40	15	3	5	$635M
2017	Mar 29, 2018	$7.4B	$7.4B	40	15	3	4	$643M
2016	Mar 30, 2017	$6.6B	$6.6B	51	15	n/a	4	$483M
2015	Mar 29, 2016	$6.1B	$6.1B	47	15	n/a	4	$403M
2014	Mar 30, 2015	$6.1B	$6.1B	49	16	n/a	4	$296M
2013	Mar 28, 2014	$5.5B	$5.5B	42	16	n/a	4	$236M
2012	Mar 28, 2013	$4.5B	$4.5B	46	17	n/a	4	$167M
2011	Mar 29, 2012	$4.1B	$4.1B	n/a	n/a	n/a	n/a	n/a