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Former SEC-registered adviser

F•••••••• A•••• M••••••••• I••

Former SEC-registered adviserChicago, IllinoisCRD 106797SEC 801-37037IAPD
Latest filing Jun 4, 2018
First filing on the tape Mar 29, 2012 · 21 filings
RAUM
$13.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
3.2%
$444,000 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$13.7M as of Jun 4, 2018
Mar 29, 2012$136M then
HNW client RAUM: $444,000
State-registered IARs (5.B.3)1 as of Jun 4, 2018
Mar 14, 20131 then
Employees (5.A)3 as of Jun 4, 2018
Mar 14, 20134 then
Private funds: no history
RAUM -71% over the last fiscal year-58% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jun 4, 2018; every figure names its basis
RAUM per advisor
$13.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$444,000derivedHNW RAUM over HNW clients
Average account
$2.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
97%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-71%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 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 institutionsreportedItem 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
  • State and municipal entities$11.1M81%
  • Charitable organizations$2.2M16%
  • High-net-worth individuals$444,0003.2%
Individual clients
n/areported
HNW clients
1reported
Pension plan clients
n/areported
Charitable clients
2reported
Accounts
5reported
Financial planning clients
n/areported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • P••••• M•••••••• · President/Ceo, Chief Investment Officer & Portfolio Manager, Chief Compliance Officercontrol
        since 06/1990 · owns 75% or more
      • H•••••••• T•••••• · Vice President & Portfolio Manager
        since 05/2010 · owns 10% to 25%
      • P••••• C••••••••• I••••• · Vice President & Portfolio Manager
        since 01/2012 · 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 · 7 to 5
        May 31, 2018 to Jun 1, 2018
      • Charity clients · 4 to 2
        May 31, 2018 to Jun 1, 2018
      • Discretionary RAUM · $16.5M to $13.7M
        May 31, 2018 to Jun 1, 2018
      • HNW RAUM · $392,000 to $444,000
        May 31, 2018 to Jun 1, 2018
      • RAUM · $16.5M to $13.7M
        May 31, 2018 to Jun 1, 2018
      • Accounts · 8 to 7
        Mar 28, 2018 to May 31, 2018
      • Charity clients · unset to 4.0
        Mar 28, 2018 to May 31, 2018
      • HNW clients · unset to 1.0
        Mar 28, 2018 to May 31, 2018
      • HNW RAUM · unset to 392000.0
        Mar 28, 2018 to May 31, 2018
      • Accounts · 9 to 8
        Mar 9, 2018 to Mar 28, 2018
      • Discretionary RAUM · $47.8M to $16.5M
        Mar 9, 2018 to Mar 28, 2018
      • RAUM · $47.8M to $16.5M
        Mar 9, 2018 to Mar 28, 2018
      • Other offices · unset to 0.0
        May 11, 2017 to Dec 20, 2017
      • Accounts · 15 to 9
        Nov 21, 2016 to Mar 27, 2017
      • Employees · 4 to 3
        Nov 21, 2016 to Mar 27, 2017
      • Discretionary RAUM · $153M to $47.8M
        Nov 21, 2016 to Mar 27, 2017
      • RAUM · $153M to $47.8M
        Nov 21, 2016 to Mar 27, 2017
      • Accounts · 17 to 15
        Dec 14, 2015 to Mar 29, 2016
      • Discretionary RAUM · $186M to $153M
        Dec 14, 2015 to Mar 29, 2016
      • RAUM · $186M to $153M
        Dec 14, 2015 to Mar 29, 2016
      • Discretionary RAUM · $203M to $186M
        Nov 17, 2014 to Mar 30, 2015
      • RAUM · $203M to $186M
        Nov 17, 2014 to Mar 30, 2015
      • Accounts · 13 to 17
        Mar 14, 2013 to Mar 22, 2014
      • Discretionary RAUM · $161M to $203M
        Mar 14, 2013 to Mar 22, 2014
      • RAUM · $161M to $203M
        Mar 14, 2013 to Mar 22, 2014
      • Accounts · 12 to 13
        Dec 7, 2012 to Mar 14, 2013
      • Advisory employees · 4 to 3
        Dec 7, 2012 to Mar 14, 2013
      • Employees · 8 to 4
        Dec 7, 2012 to Mar 14, 2013
      • Financial planning clients · 0 to unset
        Dec 7, 2012 to Mar 14, 2013
      • Discretionary RAUM · $136M to $161M
        Dec 7, 2012 to Mar 14, 2013
      • RAUM · $136M to $161M
        Dec 7, 2012 to Mar 14, 2013
      • Advisory employees · unset to 4.0
        Mar 29, 2012 to Nov 30, 2012
      • Employees · unset to 8.0
        Mar 29, 2012 to Nov 30, 2012
      • State-registered IARs · unset to 1.0
        Mar 29, 2012 to Nov 30, 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