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Former SEC-registered adviser

S•••••• A•••• M••••••••• L•••

Former SEC-registered adviserChicago, IllinoisCRD 106356SEC 801-49603IAPD
Latest filing Mar 16, 2020
First filing on the tape Mar 14, 2012 · 10 filings
RAUM
$352M
reported, Item 5.F
Discretionary
100%
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
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$352M as of Mar 16, 2020
Mar 14, 2012$264M then
HNW client RAUM$1.4M as of Mar 19, 2019
Mar 15, 2018$1.5M then
State-registered IARs (5.B.3)0 as of Mar 16, 2020
Mar 14, 20120 then
Employees (5.A)8 as of Mar 16, 2020
Mar 18, 20138 then
Private funds1 as of Mar 18, 2013
Mar 14, 20121 then
RAUM -52% over the last fiscal year-39% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 16, 2020; 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
$58.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-52%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 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
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$314M89%
  • Pension and profit-sharing plans$20.2M5.7%
  • Charitable organizations$16.8M4.8%
  • Corporations and businesses$863,2340.2%
Individual clients
0reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
6reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T•• P••••••• P••••••••• L••no longer reportedOther Private Fund$3.4M4Mar 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • D•••••• W••••••• M• · Limited Partner, Senior Advisorcontrol
        since 01/2005 · owns 25% to 50%
      • F••••••• W••••••• F•••••••• · Limited Partner And P•••••••• Managercontrol
        since 01/2005 · owns 10% to 25%
      • K••••••• S••••••• F•••••••• · Limited Partner, Chief Compliance Officer, Cao, Director Of M•••Etingcontrol
        since 01/2005 · owns 10% to 25%
      • M••••••• M•••••• · Limited Partner And P•••••••• Managercontrol
        since 01/2005 · owns 10% to 25%
      • O••••••• M•••• N• · Limited Partner And P•••••••• Managercontrol
        since 01/2005 · owns 10% to 25%
      Entity owners
      • S•••••• A•••• H••••••• I•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 9 to 6
        Mar 19, 2019 to Mar 16, 2020
      • Discretionary RAUM · $728M to $352M
        Mar 19, 2019 to Mar 16, 2020
      • HNW RAUM · 1429657.0 to unset
        Mar 19, 2019 to Mar 16, 2020
      • Pension RAUM · $24.5M to $20.2M
        Mar 19, 2019 to Mar 16, 2020
      • RAUM · $728M to $352M
        Mar 19, 2019 to Mar 16, 2020
      • Accounts · 8 to 9
        Mar 15, 2018 to Mar 19, 2019
      • Discretionary RAUM · $1.4B to $728M
        Mar 15, 2018 to Mar 19, 2019
      • HNW RAUM · $1.5M to $1.4M
        Mar 15, 2018 to Mar 19, 2019
      • Pension RAUM · $43.1M to $24.5M
        Mar 15, 2018 to Mar 19, 2019
      • RAUM · $1.4B to $728M
        Mar 15, 2018 to Mar 19, 2019
      • Corporate clients · unset to 0.0
        Jul 3, 2017 to Mar 15, 2018
      • Individual clients · unset to 0.0
        Jul 3, 2017 to Mar 15, 2018
      • Pooled vehicle clients · unset to 0.0
        Jul 3, 2017 to Mar 15, 2018
      • Other offices · unset to 0.0
        Jul 3, 2017 to Mar 15, 2018
      • Discretionary RAUM · $1.5B to $1.4B
        Jul 3, 2017 to Mar 15, 2018
      • HNW RAUM · unset to 1529709.0
        Jul 3, 2017 to Mar 15, 2018
      • Pension RAUM · unset to 43064518.0
        Jul 3, 2017 to Mar 15, 2018
      • RAUM · $1.5B to $1.4B
        Jul 3, 2017 to Mar 15, 2018
      • Accounts · 10 to 8
        Mar 8, 2016 to Mar 6, 2017
      • Discretionary RAUM · $1.4B to $1.5B
        Mar 8, 2016 to Mar 6, 2017
      • RAUM · $1.4B to $1.5B
        Mar 8, 2016 to Mar 6, 2017
      • Discretionary RAUM · $1.5B to $1.4B
        Mar 17, 2015 to Mar 8, 2016
      • RAUM · $1.5B to $1.4B
        Mar 17, 2015 to Mar 8, 2016
      • Discretionary RAUM · $1.2B to $1.5B
        Mar 11, 2014 to Mar 17, 2015
      • RAUM · $1.2B to $1.5B
        Mar 11, 2014 to Mar 17, 2015
      • Accounts · 4 to 10
        Mar 18, 2013 to Mar 11, 2014
      • Assets in custody · 3390179.0 to unset
        Mar 18, 2013 to Mar 11, 2014
      • Custody of client assets · true to false
        Mar 18, 2013 to Mar 11, 2014
      • Private funds · 1 to unset
        Mar 18, 2013 to Mar 11, 2014
      • Discretionary RAUM · $303M to $1.2B
        Mar 18, 2013 to Mar 11, 2014
      • RAUM · $303M to $1.2B
        Mar 18, 2013 to Mar 11, 2014
      • Advisory employees · unset to 5.0
        Mar 14, 2012 to Mar 18, 2013
      • Assets in custody · $3.1M to $3.4M
        Mar 14, 2012 to Mar 18, 2013
      • Employees · unset to 8.0
        Mar 14, 2012 to Mar 18, 2013
      • Discretionary RAUM · $264M to $303M
        Mar 14, 2012 to Mar 18, 2013
      • RAUM · $264M to $303M
        Mar 14, 2012 to Mar 18, 2013
      Signals
      2 dated events
      • S•••••• A•••• M••••••••• L••• reported RAUM $352.0M, down 52% from $728.3M (2019-03-19 to 2020-03-16)
        Mar 16, 2020 · RAUM change · derived
      • S•••••• A•••• M••••••••• L••• reported RAUM $728.3M, down 47% from $1.4B (2018-03-15 to 2019-03-19)
        Mar 19, 2019 · RAUM change · derived
      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