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Former SEC-registered adviser

S•••• W••••• • C•

Former SEC-registered adviserCRD 107655SEC 801-46772IAPD
Legal name S•••• W••••• • C••••••
Latest filing Mar 30, 2015
First filing on the tape Mar 30, 2012 · 6 filings
RAUM
$52.6M
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
7
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$52.8M gross assets
History
6 filings and snapshots on the tape
RAUM$52.6M as of Mar 30, 2015
Mar 30, 2012$96.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2015
Mar 28, 20130 then
Employees (5.A)7 as of Mar 30, 2015
Mar 28, 201310 then
Private funds3 as of Mar 30, 2015
Mar 30, 20123 then
RAUM -35% over the last fiscal year-18% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2015; 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
$17.5MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-35%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, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$52.6M, 3 clientsreportedItem 9.A
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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
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
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$52.6M for 3 clientsreported
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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      L••••••••• T•••• O• S• P••••• F•••• L•••Private Equity Fund$2.0M5Mar 30, 2012
      L••••••••• T•••• O• S• P••••• F••• I•• L•••Private Equity Fund$4,8049Mar 30, 2012
      S• P••••• F••• I••• L•••Private Equity Fund$013Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • F•••••• V•••••• E••••• · Senior Managing Directorcontrol
        since 06/2000 · owns less than 5%
      • I•••••• G••••••••• S•••• · Chairperson, President & Ceo, Chief Compliance Officercontrol
        since 05/1994 · owns 75% or more
      • N••••• K•••• H•••••• · Senior Managing Directorcontrol
        since 07/2011 · owns less than 5%
      Entity owners
      • S•••• W••••• • C•••••• · Owns 100% Of P••••• C•••••• M••••••••• I••• L•• (Relying Adviser)
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • P••••• C•••••• M••••••••• I•• L••
        pooled vehicle sponsory
      • P••••• C•••••• M••••••••• I••• L••
        pooled vehicle sponsory
      • P••••• C•••••• M••••••••• L••
        pooled vehicle sponsory
      • S•••• W••••• S••••••••• I•••
        broker-dealery
      Offices
      Schedule D 1.F, the 25 largest
      • Evanston, IL
      What changed
      consecutive filings, newest first
      • Assets in custody · $80.6M to $52.6M
        Mar 31, 2014 to Mar 30, 2015
      • Discretionary RAUM · $80.6M to $52.6M
        Mar 31, 2014 to Mar 30, 2015
      • RAUM · $80.6M to $52.6M
        Mar 31, 2014 to Mar 30, 2015
      • Assets in custody · $76.5M to $80.6M
        Nov 26, 2013 to Mar 31, 2014
      • Discretionary RAUM · $76.5M to $80.6M
        Nov 26, 2013 to Mar 31, 2014
      • RAUM · $76.5M to $80.6M
        Nov 26, 2013 to Mar 31, 2014
      • Employees · 10 to 7
        Mar 28, 2013 to Nov 26, 2013
      • HQ city · HARTFORD to unset
        Mar 28, 2013 to Nov 26, 2013
      • Advisory employees · 9 to 5
        Mar 28, 2013 to Nov 26, 2013
      • HQ state · CT to unset
        Mar 28, 2013 to Nov 26, 2013
      • Advisory employees · unset to 9.0
        Jul 18, 2012 to Mar 28, 2013
      • BD registered reps · unset to 2.0
        Jul 18, 2012 to Mar 28, 2013
      • Assets in custody · $91.7M to $76.5M
        Jul 18, 2012 to Mar 28, 2013
      • Employees · unset to 10.0
        Jul 18, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Jul 18, 2012 to Mar 28, 2013
      • Legal name · S•••• W••••• • C• to S•••• W••••• • C••••••
        Jul 18, 2012 to Mar 28, 2013
      • Discretionary RAUM · $91.7M to $76.5M
        Jul 18, 2012 to Mar 28, 2013
      • RAUM · $91.7M to $76.5M
        Jul 18, 2012 to Mar 28, 2013
      • Advisory activities · 2 to 1
        Mar 30, 2012 to Jul 18, 2012
      • Assets in custody · $96.9M to $91.7M
        Mar 30, 2012 to Jul 18, 2012
      • Discretionary RAUM · $96.9M to $91.7M
        Mar 30, 2012 to Jul 18, 2012
      • RAUM · $96.9M to $91.7M
        Mar 30, 2012 to Jul 18, 2012
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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