DFX Intelligence

A••••••• H•••••• • T•••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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

A••••••• H•••••• • T•••••• L••

CRD 107045

WINNETKA, IL

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Search this name across graphsid dfx:ria:f713f928-54f1-2277-852b-0c226eb735d1

Data as of Jan 24, 2017 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Mar 16, 2012 to Jan 24, 2017
7 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: $136M••• Locked
Discretionary RAUM: $136M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 1
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
T••••••• J••••• M••••	PRESIDENT/ CHIEF COMPLIANCE OFFICER (10/06)/TREASURER/SECRETARY	E	yes	12/2013	Mar 16, 2012	Jan 24, 2017

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
T••• T•••••• U••••••••	n/a	n/a	n/a	N	no	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$136M	$133M	2.1%	$119M	4.6%	1	1	n/a	n/a

Relationships

Controls (1)

← T••••••• J••••• M••••OwnerPRESIDENT/ CHIEF COMPLIANCE OFFICER (10/06)/TREASURER/SECRETARY, ownership code E, individual
Mar 16, 2012 to presentfactForm ADV

Registered with (1)

← T••• T•••••• U••••••••Advisorregistration: previous registration
Mar 20, 2009 to Jul 17, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f713f928-54f1-2277-852b-0c226eb735d1
First observed: Mar 16, 2012
Last observed: Jan 24, 2017 117 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.