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H•••••• C•••••• M••••••••• L••

Former SEC-registered adviserFormer SEC adviser· Chicago, Illinois

Former SEC-registered adviser, based in Chicago, Illinois, reporting $2.5B of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$2.5B
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-39%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 106376 · SEC 801-38709 · 12 filingsShow
CRD 106376SEC 801-38709First filing on the tape Mar 28, 2012, latest Mar 24, 2017IAPD
RAUM
$2.5B
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
22
7 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$2.5B as of Mar 24, 2017
Mar 28, 2012$2.7B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2017
Mar 28, 20120 then
Employees (5.A)22 as of Mar 24, 2017
Mar 19, 201317 then
Private funds: no history
RAUM -39% over the last fiscal year-21% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 2017; 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
$44.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%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
-39%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 assets, performance-basedreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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
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
56reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••••• C•••• R••••• · Co-Portfolio Manager, Managing Membercontrol
        since 05/2009 · owns 10% to 25%
      • W•••••• M•••••• L••• · President & Ceo, Managing Membercontrol
        since 02/2008 · owns 50% to 75%
      • F•••••••• B•••••• K••• · Chief Compliance Officer
        since 03/2015 · owns less than 5%
      • J••••• L••••• J••• · Retired, Managing Member
        since 10/2012 · owns 5% to 10%
      • M••••••••• S•••••• J•••• · Senior Analyst, Member
        since 11/2009 · owns 5% to 10%
      • M••••• R••••• N•• · Chief Operating Officer
        since 03/2016 · owns less than 5%
      • T••••• A•••••• M••• · Senior Analyst, Member
        since 11/2009 · owns 5% to 10%
      • Z••••••••• N•••••••• M•••• · Senior Analyst, Member
        since 11/2009 · owns 5% to 10%
      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 · 59 to 56
        Oct 6, 2016 to Mar 24, 2017
      • Employees · 21 to 22
        Oct 6, 2016 to Mar 24, 2017
      • Discretionary RAUM · $2.7B to $2.5B
        Oct 6, 2016 to Mar 24, 2017
      • RAUM · $2.7B to $2.5B
        Oct 6, 2016 to Mar 24, 2017
      • Accounts · 62 to 59
        Apr 13, 2016 to Jun 8, 2016
      • Discretionary RAUM · $4.0B to $2.7B
        Apr 13, 2016 to Jun 8, 2016
      • RAUM · $4.0B to $2.7B
        Apr 13, 2016 to Jun 8, 2016
      • Accounts · 73 to 62
        Apr 7, 2015 to Mar 18, 2016
      • Advisory employees · 6 to 7
        Apr 7, 2015 to Mar 18, 2016
      • Employees · 20 to 21
        Apr 7, 2015 to Mar 18, 2016
      • Discretionary RAUM · $4.5B to $4.0B
        Apr 7, 2015 to Mar 18, 2016
      • RAUM · $4.5B to $4.0B
        Apr 7, 2015 to Mar 18, 2016
      • Accounts · 68 to 73
        Mar 10, 2014 to Mar 13, 2015
      • Advisory employees · 5 to 6
        Mar 10, 2014 to Mar 13, 2015
      • Advisory activities · 4 to 3
        Mar 10, 2014 to Mar 13, 2015
      • Employees · 18 to 20
        Mar 10, 2014 to Mar 13, 2015
      • Discretionary RAUM · $4.9B to $4.5B
        Mar 10, 2014 to Mar 13, 2015
      • RAUM · $4.9B to $4.5B
        Mar 10, 2014 to Mar 13, 2015
      • Accounts · 57 to 68
        Mar 19, 2013 to Mar 6, 2014
      • Advisory employees · 7 to 5
        Mar 19, 2013 to Mar 6, 2014
      • Advisory activities · 3 to 4
        Mar 19, 2013 to Mar 6, 2014
      • Employees · 17 to 18
        Mar 19, 2013 to Mar 6, 2014
      • Discretionary RAUM · $2.9B to $4.9B
        Mar 19, 2013 to Mar 6, 2014
      • RAUM · $2.9B to $4.9B
        Mar 19, 2013 to Mar 6, 2014
      • Accounts · 54 to 57
        Jun 7, 2012 to Mar 19, 2013
      • Advisory employees · unset to 7.0
        Jun 7, 2012 to Mar 19, 2013
      • BD registered reps · unset to 0.0
        Jun 7, 2012 to Mar 19, 2013
      • Employees · unset to 17.0
        Jun 7, 2012 to Mar 19, 2013
      • Discretionary RAUM · $2.7B to $2.9B
        Jun 7, 2012 to Mar 19, 2013
      • RAUM · $2.7B to $2.9B
        Jun 7, 2012 to Mar 19, 2013
      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