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Former SEC-registered adviser

O•••••• S••••••• A••••••• C•••

Former SEC-registered adviserChicago, IllinoisCRD 10105SEC 801-44573IAPD
Legal name O•••••• S••••••• A••••••• C•••••••••
Latest filing Oct 24, 2012
First filing on the tape Apr 13, 2012 · 5 filings
RAUM
$2.5M
reported, Item 5.F
Discretionary
24%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$2.5M as of Oct 24, 2012
Apr 13, 2012$2.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Oct 24, 2012
Apr 13, 20120 then
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Oct 24, 2012; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$205,452derivedRAUM over accounts (5.F.2.f)
Discretionary
24%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived6 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
12reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • H•••• D•••• A•• · President/Ownercontrol
    since 09/2004 · owns 10% to 25%
  • O••••••• D••••• R•••••• · Vice Presidentcontrol
    since 09/2004 · owns 75% or more
  • E••••• W•••••• K•••• · Financial Operations Principal
    since 10/2008 · owns less than 5%
  • P•••••• G•••••• R•••• · Chief Compliance Officer
    since 05/2006 · owns less than 5%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
  • El Paso, TX
  • El Paso, TX
  • Eurkea, CA
  • Lombard, IL
  • Santa Maria, CA
What changed
consecutive filings, newest first
  • Accounts · 10 to 12
    Jun 19, 2012 to Aug 28, 2012
  • Discretionary RAUM · $582,436 to $595,792
    Jun 19, 2012 to Aug 28, 2012
  • Non-discretionary RAUM · $1.8M to $1.9M
    Jun 19, 2012 to Aug 28, 2012
  • RAUM · $2.3M to $2.5M
    Jun 19, 2012 to Aug 28, 2012
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026