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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

PATRICK M. SWEENEY & ASSOCIATES, INC

CRD 112802

LIBERTYVILLE, 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:dc79dfd3-ce3b-3d42-2d4a-be10edd2c424

Data as of Mar 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Mar 8, 2012 to Mar 25, 2026
12 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: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $253MItem 5.F on the latest filing (2026-03-25); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $251M
Private client RAUM: $253MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $84.2Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 2
Advisory employees: 2
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 305
Individual clients: 31
High net worth clients: 55
SEC number: 801-118910
CRD: 112802
Filings on the tape: 12
First filed: Mar 8, 2012
Latest filed: Mar 25, 2026
Organised: Corporation, IL
Website: patrickmsweeney.com

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
PATRICK MICHAEL SWEENEY	Certified Financial Planner	LIBERTYVILLE, IL	17	30	1	no
John Geoffrey Ferguson	Certified Financial Planner	Barrington, IL	5	13	n/a	no
Jack Marshall Hallier	Certified Financial Planner	LIBERTYVILLE, IL	0	10	2	no

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
SWEENEY, PATRICK, MICHAEL	PRESIDENT, CHIEF COMPLIANCE OFFICER	E	yes	04/2001	Mar 8, 2012	Feb 26, 2024

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
2025	Mar 25, 2026	$253M	$251M	2	2	1	n/a	n/a
2024	Mar 3, 2025	$217M	$216M	3	2	0	n/a	n/a
2023	Feb 26, 2024	$185M	$1.0M	3	2	0	n/a	n/a
2022	Mar 21, 2023	$137M	$136M	2	2	0	n/a	n/a
2021	Mar 1, 2022	$161M	$154M	2	2	0	n/a	n/a
2020	Mar 12, 2021	$137M	$129M	2	1	0	n/a	n/a
2011	Mar 8, 2012	$47.2M	$0	n/a	n/a	n/a	n/a	n/a

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	1	0	33.3%	1	0	0	1	1

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	$253M	$217M	16.3%	$137M	22.5%	2	3	1	0

Relationships

Registered with (4)

← Jack Marshall HallierAdvisorregistration: current employment
Aug 6, 2026 to presentfactForm ADV
← John Geoffrey FergusonAdvisorregistration: current employment
May 7, 2021 to presentfactForm ADV
← PATRICK MICHAEL SWEENEYAdvisorregistration: previous registration
Jul 31, 2001 to Dec 31, 2008factForm ADV
← Jack Michael RizziAdvisorregistration: previous registration
Sep 8, 2025 to Oct 24, 2025factForm ADV

Controls (1)

← SWEENEY, PATRICK, MICHAELOwnerPRESIDENT, CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 8, 2012 to Feb 26, 2024factForm ADV

Dated events

Occurred
Oct 24, 2025
Advisor changed firm
Jack Michael Rizzi left Patrick M. Sweeney & Associates, Inc for Dew Wealth Management (registered 2025-11-12)
Form ADVobserved 5 days ago
Occurred
May 13, 2020
First Form ADV filing
Patrick M. Sweeney & Associates, Inc filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:dc79dfd3-ce3b-3d42-2d4a-be10edd2c424
First observed: Mar 8, 2012
Last observed: Mar 25, 2026 5 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.

PATRICK M. SWEENEY & ASSOCIATES, INC

CRD 112802

LIBERTYVILLE, 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:dc79dfd3-ce3b-3d42-2d4a-be10edd2c424

Data as of Mar 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:09 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

PATRICK MICHAEL SWEENEY

Certified Financial Planner

LIBERTYVILLE, IL

John Geoffrey Ferguson

Certified Financial Planner

Barrington, IL

n/a

Jack Marshall Hallier

Certified Financial Planner

LIBERTYVILLE, IL

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

SWEENEY, PATRICK, MICHAEL

PRESIDENT, CHIEF COMPLIANCE OFFICER

yes

04/2001

Mar 8, 2012

Feb 26, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 25, 2026

$253M

$251M

n/a

2024

Mar 3, 2025

$217M

$216M

n/a

2023

Feb 26, 2024

$185M

$1.0M

n/a

2022

Mar 21, 2023

$137M

$136M

n/a

2021

Mar 1, 2022

$161M

$154M

n/a

2020

Mar 12, 2021

$137M

$129M

n/a

2011

Mar 8, 2012

$47.2M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

33.3%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$253M

$217M

16.3%

$137M

22.5%