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Former SEC-registered adviser

G••••••• I••••••••• C••• L••

Former SEC-registered adviserJoliet, IllinoisCRD 106623SEC 801-51849IAPD
Legal name G••••••• I••••••••• C•••••••••
Latest filing Oct 22, 2020
First filing on the tape Mar 12, 2012 · 19 filings
RAUM
$284M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
91%
$259M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$284M as of Feb 18, 2020
Mar 12, 2012$153M then
HNW client RAUM$236M as of Feb 18, 2020
Feb 15, 2018$213M then
State-registered IARs (5.B.3)2 as of Feb 18, 2020
Mar 12, 20120 then
Employees (5.A)3 as of Feb 18, 2020
Mar 20, 20132 then
Private funds: no history
RAUM +17% over the last fiscal year+7.6% a year over threeIARs 2 to 2offices 1 to 0
Practice profile
derived from the filing of Oct 22, 2020; every figure names its basis
RAUM per advisor
$142MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
71derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.5MderivedHNW RAUM over HNW clients
Average account
$1.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
8.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+17%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+3.7%derived
Compensation
percentage of assets, hourly, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$236M83%
  • Individuals$22.7M8.0%
  • State and municipal entities$16.4M5.8%
  • Pension and profit-sharing plans$8.3M2.9%
Individual clients
48reported
HNW clients
93reported
Pension plan clients
3reported
Charitable clients
n/areported
Accounts
211reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
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
      • G•••••••• P•••• E•••••• · Managing Partnercontrol
        since 03/1996 · owns 75% or more
      • C••••••• C••••••• R••• · Partner And Relationship Manager
        since 01/2015 · owns 5% to 10%
      • T•••••• R•••••• L•• · Chief Compliance Officer; Partner
        since 03/1996 · owns 10% to 25%
      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 · 145 to 211
        Aug 4, 2020 to Oct 22, 2020
      • Insurance-licensed employees · 0 to 2
        Aug 4, 2020 to Oct 22, 2020
      • Accounts · 218 to 145
        Feb 14, 2019 to Feb 18, 2020
      • HNW clients · 90 to 93
        Feb 14, 2019 to Feb 18, 2020
      • Individual clients · 46 to 48
        Feb 14, 2019 to Feb 18, 2020
      • Other offices · 1 to 0
        Feb 14, 2019 to Feb 18, 2020
      • Discretionary RAUM · $243M to $284M
        Feb 14, 2019 to Feb 18, 2020
      • HNW RAUM · $202M to $236M
        Feb 14, 2019 to Feb 18, 2020
      • Individual RAUM · $20.7M to $22.7M
        Feb 14, 2019 to Feb 18, 2020
      • Pension RAUM · $6.8M to $8.3M
        Feb 14, 2019 to Feb 18, 2020
      • RAUM · $243M to $284M
        Feb 14, 2019 to Feb 18, 2020
      • Accounts · 219 to 218
        Jul 19, 2018 to Feb 14, 2019
      • HNW clients · 93 to 90
        Jul 19, 2018 to Feb 14, 2019
      • Individual clients · 49 to 46
        Jul 19, 2018 to Feb 14, 2019
      • Discretionary RAUM · $258M to $243M
        Jul 19, 2018 to Feb 14, 2019
      • HNW RAUM · $213M to $202M
        Jul 19, 2018 to Feb 14, 2019
      • Individual RAUM · $23.3M to $20.7M
        Jul 19, 2018 to Feb 14, 2019
      • Pension RAUM · $7.0M to $6.8M
        Jul 19, 2018 to Feb 14, 2019
      • RAUM · $258M to $243M
        Jul 19, 2018 to Feb 14, 2019
      • Accounts · 216 to 219
        Feb 6, 2017 to Feb 15, 2018
      • Corporate clients · unset to 0.0
        Feb 6, 2017 to Feb 15, 2018
      • HNW clients · unset to 93.0
        Feb 6, 2017 to Feb 15, 2018
      • Individual clients · unset to 49.0
        Feb 6, 2017 to Feb 15, 2018
      • Pension plan clients · unset to 3.0
        Feb 6, 2017 to Feb 15, 2018
      • Other offices · unset to 1.0
        Feb 6, 2017 to Feb 15, 2018
      • Discretionary RAUM · $228M to $258M
        Feb 6, 2017 to Feb 15, 2018
      • HNW RAUM · unset to 213080634.0
        Feb 6, 2017 to Feb 15, 2018
      • Individual RAUM · unset to 23313615.0
        Feb 6, 2017 to Feb 15, 2018
      • Pension RAUM · unset to 6999349.0
        Feb 6, 2017 to Feb 15, 2018
      • RAUM · $228M to $258M
        Feb 6, 2017 to Feb 15, 2018
      • Accounts · 214 to 216
        Feb 24, 2016 to Feb 6, 2017
      • Discretionary RAUM · $212M to $228M
        Feb 24, 2016 to Feb 6, 2017
      • RAUM · $212M to $228M
        Feb 24, 2016 to Feb 6, 2017
      • Accounts · 205 to 214
        Sep 10, 2015 to Feb 24, 2016
      • Discretionary RAUM · $208M to $212M
        Sep 10, 2015 to Feb 24, 2016
      • RAUM · $208M to $212M
        Sep 10, 2015 to Feb 24, 2016
      • Accounts · 212 to 205
        Aug 20, 2014 to Mar 12, 2015
      • Employees · 4 to 3
        Aug 20, 2014 to Mar 12, 2015
      • Discretionary RAUM · $200M to $208M
        Aug 20, 2014 to Mar 12, 2015
      • RAUM · $200M to $208M
        Aug 20, 2014 to Mar 12, 2015
      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