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

LEONETTI & ASSOCIATES, LLC

CRD 146851

BUFFALO GROVE, 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:dc3d33c9-5a1a-e300-20f6-1e3a84504e3a

Data as of Mar 28, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 20
Dated events: 0
On other graphs: 0
Observed: Mar 28, 2012 to Mar 28, 2018
24 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: $713MItem 5.F on the latest filing (2018-03-28); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $713M
Private client RAUM: $671MderivedItem 5.D individuals plus high net worth individuals
Private client share: 94%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 16
Advisory employees: 7
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1,006
Individual clients: 353
High net worth clients: 35
SEC number: 801-69003
CRD: 146851
Filings on the tape: 24
First filed: Mar 28, 2012
Latest filed: Mar 28, 2018
Organised: Limited Liability Company, Illinois

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
FELDMAN, DEBORAH, LYNN	PRESIDENT AND BOARD OF MANAGERS	Na	yes	03/2008	Mar 28, 2012	Mar 28, 2018
HIGHTOWER HOLDING, LLC	Owner	E	yes	05/2017	Nov 28, 2017	Mar 28, 2018
LEONETTI, MICHAEL, EDWARD	CHIEF EXECUTIVE OFFICER AND BOARD OF MANAGERS	Na	yes	03/2008	Mar 28, 2012	Mar 28, 2018
PAGLIUCO, ROBERT, STEVEN	EXECUTIVE VICE PRESIDENT AND TREASURER	Na	yes	06/2017	Jun 30, 2017	Mar 28, 2018
THL EQUITY FUND VII INVESTORS (HT), LLC	Owner	E	yes	01/2018	Mar 28, 2018	Mar 28, 2018
WT ACQUISITION, LLC	Owner	E	yes	05/2017	Nov 28, 2017	Mar 28, 2018
OBRIEN, JOHN, RALPH	CHIEF COMPLIANCE OFFICER	Na	no	03/2008	Mar 28, 2012	Mar 28, 2018

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
HIGHTOWER ADVISORS, LLC	n/a	Bd affiliated wealth	$199B	N	yes	n/a
GFS ADVISORS LLC	n/a	Mixed wealth	$3.8B	N	yes	n/a
KISSINGER FINANCIAL SERVICES, LLC	n/a	Former SEC adviser	$262M	N	yes	n/a
THE RIKOON GROUP, LLC	n/a	Former SEC adviser	$72.2M	N	yes	n/a
GLOBAL FINANCIAL SERVICES, L.L.C.	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
2017	Mar 28, 2018	$713M	$713M	16	7	0	n/a	n/a
2016	Mar 29, 2017	$672M	$672M	15	7	n/a	n/a	n/a
2015	Mar 29, 2016	$654M	$654M	16	7	n/a	n/a	n/a
2014	Mar 23, 2015	$632M	$632M	16	7	n/a	n/a	n/a
2013	Mar 31, 2014	$590M	$590M	15	7	n/a	n/a	n/a
2012	Mar 22, 2013	$490M	$490M	15	7	n/a	n/a	n/a
2011	Mar 28, 2012	$472M	$472M	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
2017	$713M	$672M	6.0%	$632M	4.1%	16	15	0	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
HIGHTOWER ADVISORS, LLC	5	Jun 26, 2019	Sep 5, 2018	BUFFALO GROVE, IL	Firm absorbed	RIA to ibd	100.0%

Relationships

Affiliated with (6)

← THE RIKOON GROUP, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ THE RIKOON GROUP, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ GFS ADVISORS LLCRegistered adviserother investment adviser, common control
factForm ADV
→ HIGHTOWER ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ KISSINGER FINANCIAL SERVICES, LLCRegistered adviserother investment adviser, common control
factForm ADV
← KISSINGER FINANCIAL SERVICES, LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (6)

← LEONETTI, MICHAEL, EDWARDOwnerCHIEF EXECUTIVE OFFICER AND BOARD OF MANAGERS, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← PAGLIUCO, ROBERT, STEVENOwnerEXECUTIVE VICE PRESIDENT AND TREASURER, ownership code NA, individual
Jun 30, 2017 to presentfactForm ADV
← FELDMAN, DEBORAH, LYNNOwnerPRESIDENT AND BOARD OF MANAGERS, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← HIGHTOWER HOLDING, LLCOwnerOWNER, ownership code E, domestic entity
Nov 28, 2017 to presentfactForm ADV
← THL EQUITY FUND VII INVESTORS (HT), LLCOwnerOWNER, ownership code E, domestic entity
Mar 28, 2018 to presentfactForm ADV
← WT ACQUISITION, LLCOwnerOWNER, ownership code E, domestic entity
Nov 28, 2017 to presentfactForm ADV

Owns (1)

← OBRIEN, JOHN, RALPHOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV

Registered with (6)

← MICHAEL EDWARD LEONETTIAdvisorregistration: previous registration
May 6, 2008 to Jun 26, 2019factForm ADV
← ROBIN LEE STONEAdvisorregistration: previous registration
May 6, 2008 to Jun 26, 2019factForm ADV
← DEBORAH LYNN FELDMANAdvisorregistration: previous registration
May 6, 2008 to Jun 26, 2019factForm ADV
← SHERWIN MARVIN LESKAdvisorregistration: previous registration
May 6, 2008 to Jun 26, 2019factForm ADV
← DAVID ALAN JUTOVSKYAdvisorregistration: previous registration
May 6, 2008 to Jun 26, 2019factForm ADV
← CRISTINE MARIE MARIKAdvisorregistration: previous registration
May 6, 2008 to Dec 11, 2012factForm ADV

Moved with (1)

→ HIGHTOWER ADVISORS, LLCRegistered adviser5 advisors, firm absorbed, same day
Jun 26, 2019 to Sep 5, 2018factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:dc3d33c9-5a1a-e300-20f6-1e3a84504e3a
First observed: Mar 28, 2012
Last observed: Mar 28, 2018 103 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.

LEONETTI & ASSOCIATES, LLC

CRD 146851

BUFFALO GROVE, 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:dc3d33c9-5a1a-e300-20f6-1e3a84504e3a

Data as of Mar 28, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:13 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FELDMAN, DEBORAH, LYNN

PRESIDENT AND BOARD OF MANAGERS

yes

03/2008

Mar 28, 2012

Mar 28, 2018

HIGHTOWER HOLDING, LLC

Owner

yes

05/2017

Nov 28, 2017

Mar 28, 2018

LEONETTI, MICHAEL, EDWARD

CHIEF EXECUTIVE OFFICER AND BOARD OF MANAGERS

yes

03/2008

Mar 28, 2012

Mar 28, 2018

PAGLIUCO, ROBERT, STEVEN

EXECUTIVE VICE PRESIDENT AND TREASURER

yes

06/2017

Jun 30, 2017

Mar 28, 2018

THL EQUITY FUND VII INVESTORS (HT), LLC

Owner

yes

01/2018

Mar 28, 2018

WT ACQUISITION, LLC

Owner

yes

05/2017

Nov 28, 2017

Mar 28, 2018

OBRIEN, JOHN, RALPH

CHIEF COMPLIANCE OFFICER

03/2008

Mar 28, 2012

Mar 28, 2018

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

HIGHTOWER ADVISORS, LLC

n/a

Bd affiliated wealth

$199B

yes

n/a

GFS ADVISORS LLC

n/a

Mixed wealth

$3.8B

yes

n/a

KISSINGER FINANCIAL SERVICES, LLC

n/a

Former SEC adviser

$262M

yes

n/a

THE RIKOON GROUP, LLC

n/a

Former SEC adviser

$72.2M

yes

n/a

GLOBAL FINANCIAL SERVICES, L.L.C.

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Mar 28, 2018

$713M

n/a

2016

Mar 29, 2017

$672M

n/a

2015

Mar 29, 2016

$654M

n/a

2014

Mar 23, 2015

$632M

n/a

2013

Mar 31, 2014

$590M

n/a

2012

Mar 22, 2013

$490M

n/a

2011

Mar 28, 2012

$472M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

$713M

$672M

6.0%

$632M

4.1%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

HIGHTOWER ADVISORS, LLC

Jun 26, 2019

Sep 5, 2018

BUFFALO GROVE, IL

Firm absorbed

RIA to ibd

100.0%