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

D3 FINANCIAL COUNSELORS LLC

CRD 123600

DOWNERS 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:f8de2cae-725e-b223-9d5e-aa9077e77ef7

Data as of Mar 22, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Dec 16, 2011 to Mar 22, 2018
19 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: $270MItem 5.F on the latest filing (2018-03-22); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $270M
Private client RAUM: $270MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 9
Advisory employees: 5
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 184
Individual clients: 76
High net worth clients: 108
Custody, client assets: $40.8M
SEC number: 801-79401
CRD: 123600
Filings on the tape: 19
First filed: Dec 16, 2011
Latest filed: Mar 22, 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
DUNCAN, DONALD, DUANE	MANAGING MEMBER	E	yes	08/1997	Dec 16, 2011	Mar 22, 2018
GLASSBERG, ADAM, JEFFREY	FINANCIAL COUNSELOR	B	no	01/2015	Mar 16, 2018	Mar 22, 2018
MEYERS, MICHEAL, NEAL	CHIEF COMPLIANCE OFFICER	Na	no	07/2010	Dec 16, 2011	Mar 22, 2018

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Chicago	IL	United States	4	no
n/a	n/a	n/a	1	no

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 16, 2018	$270M	$270M	9	5	1	n/a	n/a
2016	Mar 23, 2017	$210M	$210M	9	5	n/a	n/a	n/a
2015	Mar 23, 2016	$144M	$144M	9	4	n/a	n/a	n/a
2014	Mar 13, 2015	$126M	$126M	7	4	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	$270M	$210M	28.6%	$126M	28.9%	9	9	2	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
SAVANT WEALTH MANAGEMENT	2	Dec 20, 2018	Oct 1, 2018	DOWNERS GROVE, IL	Team lift out	RIA to RIA	100.0%

Relationships

Controls (1)

← DUNCAN, DONALD, DUANEOwnerMANAGING MEMBER, ownership code E, individual
Dec 16, 2011 to presentfactForm ADV

Owns (2)

← MEYERS, MICHEAL, NEALOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Dec 16, 2011 to presentfactForm ADV
← GLASSBERG, ADAM, JEFFREYOwnerFINANCIAL COUNSELOR, ownership code B, individual
Mar 16, 2018 to presentfactForm ADV

Registered with (5)

← DONALD DUANE DUNCANAdvisorregistration: previous registration
Aug 10, 1998 to Dec 20, 2018factForm ADV
← ADAM JEFFREY GLASSBERGAdvisorregistration: previous registration
Jun 14, 2011 to Dec 20, 2018factForm ADV
← BRETT A. SPENCERAdvisorregistration: previous registration
Dec 4, 2015 to Oct 18, 2018factForm ADV
← MICHAEL HUGH SMITHAdvisorregistration: previous registration
Mar 16, 2016 to Oct 4, 2018factForm ADV
← DENNIS C GRAVITTAdvisorregistration: previous registration
Mar 16, 2006 to Jul 13, 2007factForm ADV

Moved with (1)

→ SAVANT WEALTH MANAGEMENTRegistered adviser2 advisors, team lift out, same day
Dec 20, 2018 to Oct 1, 2018factForm ADV

Dated events

Occurred
Mar 14, 2014
First Form ADV filing
D3 Financial Counselors Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f8de2cae-725e-b223-9d5e-aa9077e77ef7
First observed: Dec 16, 2011
Last observed: Mar 22, 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.

D3 FINANCIAL COUNSELORS LLC

CRD 123600

DOWNERS 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:f8de2cae-725e-b223-9d5e-aa9077e77ef7

Data as of Mar 22, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:06 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DUNCAN, DONALD, DUANE

MANAGING MEMBER

yes

08/1997

Dec 16, 2011

Mar 22, 2018

GLASSBERG, ADAM, JEFFREY

FINANCIAL COUNSELOR

01/2015

Mar 16, 2018

Mar 22, 2018

MEYERS, MICHEAL, NEAL

CHIEF COMPLIANCE OFFICER

07/2010

Dec 16, 2011

Mar 22, 2018

City

State

Country

Employees

Also broker-dealer

Chicago

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Mar 16, 2018

$270M

n/a

2016

Mar 23, 2017

$210M

n/a

2015

Mar 23, 2016

$144M

n/a

2014

Mar 13, 2015

$126M

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

$270M

$210M

28.6%

$126M

28.9%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

SAVANT WEALTH MANAGEMENT

Dec 20, 2018

Oct 1, 2018

DOWNERS GROVE, IL

Team lift out

RIA to RIA

100.0%