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CRD 134092
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| SCHWAB, MICHELE, ANN | Member | D | yes | 01/2005 | Feb 8, 2012 | Apr 25, 2014 |
| SCHWAB, THOMAS, JOHN | MANAGING MEMBER, PRESIDENT | Na | yes | 09/2005 | Feb 8, 2012 | Apr 25, 2014 |
| UHL, ELIZABETH, MARY | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | Na | yes | 02/2006 | Feb 8, 2012 | Apr 25, 2014 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| n/a | n/a | n/a | n/a | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2013 | Feb 19, 2014 | $1.2M | $1.2M | 3 | 3 | n/a | n/a | n/a |
| 2012 | Feb 7, 2013 | $25.8M | $25.8M | 5 | 4 | n/a | n/a | n/a |
| 2011 | Feb 8, 2012 | $45.5M | $45.5M | n/a | n/a | n/a | n/a | n/a |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2013 | $1.2M | $25.8M | -95.3% | n/a | n/a | 3 | 5 | n/a | n/a |