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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

BONDWAVE ADVISORS

BONDWAVE LLC, CRD 113229

WHEATON, IL

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:dbc3fc58-89ec-6b67-6d12-017976de2258

Data as of Mar 30, 2016 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 29
Dated events: 0
On other graphs: 0
Observed: Nov 17, 2011 to Mar 30, 2016
10 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
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 21
Advisory employees: 3
SEC number: 801-70049
CRD: 113229
Filings on the tape: 10
First filed: Nov 17, 2011
Latest filed: Mar 30, 2016
Organised: Limited Liability Company, Delaware

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
AJM VENTURES LLC	Shareholder	E	yes	10/2010	Nov 17, 2011	Mar 30, 2016
BOWEN, JAMES ALLEN	CHAIRMAN OF THE BOARD	Na	yes	04/2001	Nov 17, 2011	Mar 30, 2016
BOWEN, JAMES, ALLEN	SOLE SHAREHOLDER	E	yes	10/2010	Nov 17, 2011	Mar 30, 2016
BROWN, KATHLEEN WIELAND	CHIEF COMPLIANCE OFFICER	Na	yes	02/2008	Nov 17, 2011	Mar 30, 2016
CHINTALA, MICHAEL	MANAGING DIRECTOR, PRODUCT DATA MANAGEMENT	Na	yes	11/2014	Mar 31, 2015	Mar 30, 2016
DALEY, PAUL, WILLIAM	MANAGING DIRECTOR, FIXED INFORMATION LAB	Na	yes	01/2015	Mar 31, 2015	Mar 30, 2016
DEFEO, MICHAEL, ARTHUR	MANAGING DIRECTOR, CHIEF OPERATING OFFICER	Na	yes	04/2001	Nov 17, 2011	Mar 30, 2016
DYKAS, JAMES, MARTIN	BOARD MEMBER	Na	yes	01/2016	Jan 29, 2016	Mar 30, 2016
FIRST TRUST ADVISORS L.P.	Shareholder	Na	yes	08/2009	Nov 17, 2011	Mar 30, 2016
FIRST TRUST CAPITAL PARTNERS LLC	Shareholder	E	yes	01/2016	Jan 29, 2016	Mar 30, 2016
FITZGERALD, PATRICK, MICHAEL	BOARD MEMBER	Na	yes	04/2001	Nov 17, 2011	Mar 30, 2016
JARDINE, WILLIAM, SCOTT	GENERAL COUNSEL	Na	yes	08/2009	Nov 17, 2011	Mar 30, 2016
MCALISTER, RONALD, DEAN	BOARD MEMBER	Na	yes	08/2009	Nov 17, 2011	Mar 30, 2016
MWANGI, KENNETH, NDONGA	MANAGING DIRECTOR OF PRODUCT MANAGEMENT	Na	yes	03/2016	Mar 30, 2016	Mar 30, 2016
ROGGENSACK, ANDREW, SCOTT	BOARD MEMBER	Na	yes	04/2001	Nov 17, 2011	Mar 30, 2016
RUVO, MICHAEL	CHIEF EXECUTIVE OFFICER	Na	yes	03/2016	Dec 18, 2013	Mar 30, 2016
THE CHARGER CORPORATION	GENERAL PARTNER	F	yes	08/1991	Nov 17, 2011	Mar 30, 2016
THE CHARGER CORPORATION	MANAGING MEMBER	F	yes	08/2006	Nov 17, 2011	Mar 30, 2016
TRETER, MATTHEW, RICART	MANAGING DIRECTOR, PRODUCT STRATEGY AND DESIGN	Na	yes	04/2001	Nov 17, 2011	Mar 30, 2016
VOLLE, JONATHAN, JAY	MANAGING DIRECTOR, INFORMATION STRATEGIES	Na	yes	01/2004	Nov 17, 2011	Mar 30, 2016
GRACE PARTNERS OF DUPAGE L.P.	NON-MANAGING MEMBER	E	no	08/2006	Nov 17, 2011	Mar 30, 2016

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
FIRST TRUST ADVISORS LP	n/a	Asset manager	$309B	N	yes	n/a
STONEBRIDGE ADVISORS LLC	n/a	Asset manager	$12B	N	yes	n/a
FIRST TRUST GLOBAL PORTFOLIOS LIMITED	n/a	Asset manager	$339M	N	yes	n/a
FIRST TRUST CAPITAL PARTNERS LLC	n/a	n/a	n/a	Y	yes	n/a
FIRST TRUST PORTFOLIOS L.P.	n/a	n/a	n/a	N	yes	n/a

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
2015	Mar 30, 2016	n/a	n/a	21	3	n/a	n/a	n/a
2014	Mar 31, 2015	n/a	n/a	24	5	n/a	n/a	n/a
2013	Mar 28, 2014	n/a	n/a	26	5	n/a	n/a	n/a
2012	Mar 28, 2013	n/a	n/a	25	5	n/a	n/a	n/a
2011	Mar 26, 2012	n/a	n/a	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
2015	n/a	n/a	n/a	n/a	n/a	21	24	n/a	n/a

Relationships

Affiliated with (3)

→ FIRST TRUST ADVISORS LPRegistered adviserother investment adviser, bank, common control
factForm ADV
→ STONEBRIDGE ADVISORS LLCRegistered adviserother investment adviser, common control
factForm ADV
→ FIRST TRUST GLOBAL PORTFOLIOS LTD.Registered adviserother investment adviser, common control
factForm ADV

Controls (18)

← BOWEN, JAMES ALLENOwnerCHAIRMAN OF THE BOARD, ownership code NA, individual
Nov 17, 2011 to presentfactForm ADV
← ROGGENSACK, ANDREW, SCOTTOwnerBOARD MEMBER, ownership code NA, individual
Nov 17, 2011 to presentfactForm ADV
← BROWN, KATHLEEN WIELANDOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 17, 2011 to presentfactForm ADV
← DYKAS, JAMES, MARTINOwnerBOARD MEMBER, ownership code NA, individual
Jan 29, 2016 to presentfactForm ADV
← TRETER, MATTHEW, RICARTOwnerMANAGING DIRECTOR, PRODUCT STRATEGY AND DESIGN, ownership code NA, individual
Nov 17, 2011 to presentfactForm ADV
← JARDINE, WILLIAM, SCOTTOwnerGENERAL COUNSEL, ownership code NA, individual
Nov 17, 2011 to presentfactForm ADV
← DEFEO, MICHAEL, ARTHUROwnerMANAGING DIRECTOR, CHIEF OPERATING OFFICER, ownership code NA, individual
Nov 17, 2011 to presentfactForm ADV
← DALEY, PAUL, WILLIAMOwnerMANAGING DIRECTOR, FIXED INFORMATION LAB, ownership code NA, individual
Mar 31, 2015 to presentfactForm ADV
← FITZGERALD, PATRICK, MICHAELOwnerBOARD MEMBER, ownership code NA, individual
Nov 17, 2011 to presentfactForm ADV
← VOLLE, JONATHAN, JAYOwnerMANAGING DIRECTOR, INFORMATION STRATEGIES, ownership code NA, individual
Nov 17, 2011 to presentfactForm ADV
← MWANGI, KENNETH, NDONGAOwnerMANAGING DIRECTOR OF PRODUCT MANAGEMENT, ownership code NA, individual
Mar 30, 2016 to presentfactForm ADV
← RUVO, MICHAELOwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Dec 18, 2013 to presentfactForm ADV
← CHINTALA, MICHAELOwnerMANAGING DIRECTOR, PRODUCT DATA MANAGEMENT, ownership code NA, individual
Mar 31, 2015 to presentfactForm ADV
← MCALISTER, RONALD, DEANOwnerBOARD MEMBER, ownership code NA, individual
Nov 17, 2011 to presentfactForm ADV
← AJM VENTURES LLCOwnerSHAREHOLDER, ownership code E, domestic entity
Nov 17, 2011 to presentfactForm ADV
← FIRST TRUST ADVISORS L.P.OwnerSHAREHOLDER, ownership code NA, domestic entity
Nov 17, 2011 to presentfactForm ADV
← FIRST TRUST CAPITAL PARTNERS LLCOwnerSHAREHOLDER, ownership code E, domestic entity
Jan 29, 2016 to presentfactForm ADV
← THE CHARGER CORPORATIONOwnerMANAGING MEMBER, ownership code F, domestic entity
Nov 17, 2011 to presentfactForm ADV

Owns (1)

← GRACE PARTNERS OF DUPAGE L.P.OwnerNON-MANAGING MEMBER, ownership code E, domestic entity
Nov 17, 2011 to presentfactForm ADV

Registered with (5)

← Daniella FriendAdvisorregistration: previous registration
Oct 3, 2012 to Nov 1, 2016factForm ADV
← SARAH VIOLET GALPINAdvisorregistration: previous registration
Jun 9, 2009 to Oct 10, 2016factForm ADV
← GREGORY GERARD CARRAdvisorregistration: previous registration
Jan 2, 2008 to Nov 15, 2011factForm ADV
← ERIC RHODES MAISELAdvisorregistration: previous registration
Feb 9, 2010 to Mar 15, 2011factForm ADV
← JOSEPH ROY HARGROVEAdvisorregistration: previous registration
Oct 7, 2008 to Oct 6, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:dbc3fc58-89ec-6b67-6d12-017976de2258
First observed: Nov 17, 2011
Last observed: Mar 30, 2016 127 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.

BONDWAVE ADVISORS

BONDWAVE LLC, CRD 113229

WHEATON, IL

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:dbc3fc58-89ec-6b67-6d12-017976de2258

Data as of Mar 30, 2016 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:16 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

AJM VENTURES LLC

Shareholder

yes

10/2010

Nov 17, 2011

Mar 30, 2016

BOWEN, JAMES ALLEN

CHAIRMAN OF THE BOARD

yes

04/2001

Nov 17, 2011

Mar 30, 2016

BOWEN, JAMES, ALLEN

SOLE SHAREHOLDER

yes

10/2010

Nov 17, 2011

Mar 30, 2016

BROWN, KATHLEEN WIELAND

CHIEF COMPLIANCE OFFICER

yes

02/2008

Nov 17, 2011

Mar 30, 2016

CHINTALA, MICHAEL

MANAGING DIRECTOR, PRODUCT DATA MANAGEMENT

yes

11/2014

Mar 31, 2015

Mar 30, 2016

DALEY, PAUL, WILLIAM

MANAGING DIRECTOR, FIXED INFORMATION LAB

yes

01/2015

Mar 31, 2015

Mar 30, 2016

DEFEO, MICHAEL, ARTHUR

MANAGING DIRECTOR, CHIEF OPERATING OFFICER

yes

04/2001

Nov 17, 2011

Mar 30, 2016

DYKAS, JAMES, MARTIN

BOARD MEMBER

yes

01/2016

Jan 29, 2016

Mar 30, 2016

FIRST TRUST ADVISORS L.P.

Shareholder

yes

08/2009

Nov 17, 2011

Mar 30, 2016

FIRST TRUST CAPITAL PARTNERS LLC

Shareholder

yes

01/2016

Jan 29, 2016

Mar 30, 2016

FITZGERALD, PATRICK, MICHAEL

BOARD MEMBER

yes

04/2001

Nov 17, 2011

Mar 30, 2016

JARDINE, WILLIAM, SCOTT

GENERAL COUNSEL

yes

08/2009

Nov 17, 2011

Mar 30, 2016

MCALISTER, RONALD, DEAN

BOARD MEMBER

yes

08/2009

Nov 17, 2011

Mar 30, 2016

MWANGI, KENNETH, NDONGA

MANAGING DIRECTOR OF PRODUCT MANAGEMENT

yes

03/2016

Mar 30, 2016

ROGGENSACK, ANDREW, SCOTT

BOARD MEMBER

yes

04/2001

Nov 17, 2011

Mar 30, 2016

RUVO, MICHAEL

CHIEF EXECUTIVE OFFICER

yes

03/2016

Dec 18, 2013

Mar 30, 2016

THE CHARGER CORPORATION

GENERAL PARTNER

yes

08/1991

Nov 17, 2011

Mar 30, 2016

THE CHARGER CORPORATION

MANAGING MEMBER

yes

08/2006

Nov 17, 2011

Mar 30, 2016

TRETER, MATTHEW, RICART

MANAGING DIRECTOR, PRODUCT STRATEGY AND DESIGN

yes

04/2001

Nov 17, 2011

Mar 30, 2016

VOLLE, JONATHAN, JAY

MANAGING DIRECTOR, INFORMATION STRATEGIES

yes

01/2004

Nov 17, 2011

Mar 30, 2016

GRACE PARTNERS OF DUPAGE L.P.

NON-MANAGING MEMBER

08/2006

Nov 17, 2011

Mar 30, 2016

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

FIRST TRUST ADVISORS LP

n/a

Asset manager

$309B

yes

n/a

STONEBRIDGE ADVISORS LLC

n/a

Asset manager

$12B

yes

n/a

FIRST TRUST GLOBAL PORTFOLIOS LIMITED

n/a

Asset manager

$339M

yes

n/a

FIRST TRUST CAPITAL PARTNERS LLC

n/a

yes

n/a

FIRST TRUST PORTFOLIOS L.P.

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2015

Mar 30, 2016

n/a

2014

Mar 31, 2015

n/a

2013

Mar 28, 2014

n/a

2012

Mar 28, 2013

n/a

2011

Mar 26, 2012

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2015

n/a