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CRD 148966
MCLEAN, VA
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 |
|---|---|---|---|---|---|---|
| B•••••• M••••••• S••••• | CHIEF COMPLIANCE OFFICER | A | yes | 06/2017 | Jul 14, 2017 | Aug 1, 2017 |
| D•••• S•••••••• • A••••••••• H•••••••• L•• | OWNER MEMBER | D | yes | 06/2017 | Jul 14, 2017 | Aug 1, 2017 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| D•••• S•••••••• • A••••••••• L•• | n/a | Mixed wealth | $98B | Y | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Chicago | IL | United States | n/a | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2016 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2016 | $571M | $804M | -29.0% | $659M | -4.7% | 11 | 10 | n/a | n/a |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| F•••••••• A••••••• L•• | 6 | Mar 28, 2018 | Mar 22, 2018 | MCLEAN, VA | Firm absorbed | Other | 85.7% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| W•••• F•••• A••••••• | 4 | Mar 1, 2016 | Oct 25, 2016 | MCLEAN, VA | Team lift out | Other | 0.3% |
| DEPUTY MANAGING DIRECTOR |
| Na |
| yes |
| 01/2009 |
| Mar 19, 2012 |
| Aug 1, 2017 |
| F•••••• W•••• S••••••• | Director | Na | yes | 01/2009 | Mar 19, 2012 | Aug 1, 2017 |
| M•••••• D••••••• C•••••• P••••••• V•••• L••• | Owner | C | yes | 07/2013 | Jul 14, 2017 | Aug 1, 2017 |
| M•••••• D••••••• P••••••• | GENERAL PARTNER | F | yes | 07/2013 | Jul 14, 2017 | Aug 1, 2017 |
| M•••••• D••••••• P••••••• V•••••• L••• | GENERAL PARTNER | F | yes | 07/2013 | Jul 14, 2017 | Aug 1, 2017 |
| N•• C•••• | Owner | D | yes | 11/2014 | Jul 14, 2017 | Aug 1, 2017 |
| N•• H•••••••• L•• | Owner | E | yes | 07/2013 | Jul 14, 2017 | Aug 1, 2017 |
| N•• I••••••••• H••••••• A• C•••• | Owner | E | yes | 07/2013 | Jul 14, 2017 | Aug 1, 2017 |
| N•• I••••••••• H••••••• B• C•••• | Owner | E | yes | 07/2013 | Jul 14, 2017 | Aug 1, 2017 |
| N•• P••••• C•• L•• | Owner | E | yes | 10/2014 | Jul 14, 2017 | Aug 1, 2017 |
| N•• U••••••• H•••••••• L•• | Owner | E | yes | 02/2017 | Jul 14, 2017 | Aug 1, 2017 |
| O•••••• R•••••• L•••• | MANAGING DIRECTOR | Na | yes | 01/2009 | Mar 19, 2012 | Aug 1, 2017 |
| O••••• C••••••••• G•••• | MANAGING MEMBER | Na | no | 03/2017 | Mar 31, 2017 | Aug 1, 2017 |
| $1.0B |
| $306M |
| 11 |
| 8 |
| n/a |
| n/a |
| n/a |
| 2015 | Mar 30, 2016 | $804M | $173M | 10 | 7 | n/a | n/a | n/a |
| 2014 | Mar 31, 2015 | $776M | $192M | 8 | 6 | n/a | n/a | n/a |
| 2013 | Mar 28, 2014 | $659M | $61.1M | 8 | 6 | n/a | n/a | n/a |
| 2012 | Mar 21, 2013 | $357M | $54.9M | 8 | 5 | n/a | n/a | n/a |
| 2011 | Mar 19, 2012 | $165M | $38.3M | n/a | n/a | n/a | n/a | n/a |