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Former SEC-registered adviserFormer SEC adviser· Lisle, Illinois

Former SEC-registered adviser, based in Lisle, Illinois, reporting $520M of regulatory assets.

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

Last reported RAUM
$520M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-66%
Form ADV, consecutive annual filings
Private clients
1.4% of RAUM, $7.0M
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 108003 · SEC 801-55334 · 11 filingsShow
CRD 108003SEC 801-55334Legal name O••••••• I••••••••• L••First filing on the tape Mar 29, 2012, latest Apr 8, 2020IAPD
RAUM
$520M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
1.4%
$7.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$520M as of Mar 12, 2020
Mar 29, 2012$2.9B then
HNW client RAUM$7.0M as of Mar 12, 2020
Mar 15, 2018$9.8M then
State-registered IARs (5.B.3)0 as of Mar 12, 2020
Mar 29, 20120 then
Employees (5.A)12 as of Mar 12, 2020
Mar 25, 201311 then
Private funds: no history
RAUM -66% over the last fiscal year-31% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 8, 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
$1.0MderivedHNW RAUM over HNW clients
Average account
$22.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
60%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
-66%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 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
  • Pension and profit-sharing plans$211M41%
  • Other investment advisers$200M38%
  • State and municipal entities$102M20%
  • High-net-worth individuals$7.0M1.4%
Individual clients
n/areported
HNW clients
7reported
Pension plan clients
11reported
Charitable clients
n/areported
Accounts
23reported
Financial planning clients
0reported
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
      • J••••••••• P••••• M•••• · Co-Chief Investment Officer/Managing Membercontrol
        since 10/2007 · owns 25% to 50%
      • S••••••• J••••• L•• · Chief Compliance Officer/Co-Chief Investment Officer/Managing Membercontrol
        since 04/2020 · owns 50% to 75%
      • C••••••••• S••••••••• · Head Trader/Portfolio Manager/Member
        since 01/2008 · 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 · 31 to 23
        Mar 14, 2019 to Mar 12, 2020
      • Pension plan clients · 15 to 11
        Mar 14, 2019 to Mar 12, 2020
      • Discretionary RAUM · $1.5B to $520M
        Mar 14, 2019 to Mar 12, 2020
      • HNW RAUM · $6.4M to $7.0M
        Mar 14, 2019 to Mar 12, 2020
      • Pension RAUM · $1.2B to $211M
        Mar 14, 2019 to Mar 12, 2020
      • RAUM · $1.5B to $520M
        Mar 14, 2019 to Mar 12, 2020
      • Accounts · 34 to 31
        Mar 15, 2018 to Mar 14, 2019
      • HNW clients · 8 to 7
        Mar 15, 2018 to Mar 14, 2019
      • Employees · 11 to 12
        Mar 15, 2018 to Mar 14, 2019
      • Discretionary RAUM · $1.6B to $1.5B
        Mar 15, 2018 to Mar 14, 2019
      • HNW RAUM · $9.8M to $6.4M
        Mar 15, 2018 to Mar 14, 2019
      • Pension RAUM · $1.2B to $1.2B
        Mar 15, 2018 to Mar 14, 2019
      • RAUM · $1.6B to $1.5B
        Mar 15, 2018 to Mar 14, 2019
      • Accounts · 33 to 34
        Mar 16, 2017 to Mar 15, 2018
      • HNW clients · unset to 8.0
        Mar 16, 2017 to Mar 15, 2018
      • Pension plan clients · unset to 15.0
        Mar 16, 2017 to Mar 15, 2018
      • Other offices · unset to 0.0
        Mar 16, 2017 to Mar 15, 2018
      • Discretionary RAUM · $1.6B to $1.6B
        Mar 16, 2017 to Mar 15, 2018
      • HNW RAUM · unset to 9797650.0
        Mar 16, 2017 to Mar 15, 2018
      • Pension RAUM · unset to 1169364035.0
        Mar 16, 2017 to Mar 15, 2018
      • RAUM · $1.6B to $1.6B
        Mar 16, 2017 to Mar 15, 2018
      • Accounts · 29 to 33
        Mar 17, 2016 to Mar 15, 2017
      • Employees · 12 to 11
        Mar 17, 2016 to Mar 15, 2017
      • Discretionary RAUM · $1.6B to $1.6B
        Mar 17, 2016 to Mar 15, 2017
      • RAUM · $1.6B to $1.6B
        Mar 17, 2016 to Mar 15, 2017
      • Accounts · 32 to 29
        Mar 19, 2015 to Mar 17, 2016
      • Discretionary RAUM · $1.9B to $1.6B
        Mar 19, 2015 to Mar 17, 2016
      • RAUM · $1.9B to $1.6B
        Mar 19, 2015 to Mar 17, 2016
      • Accounts · 43 to 32
        Mar 20, 2014 to Mar 19, 2015
      • Employees · 11 to 12
        Mar 20, 2014 to Mar 19, 2015
      • Discretionary RAUM · $3.6B to $1.9B
        Mar 20, 2014 to Mar 19, 2015
      • RAUM · $3.6B to $1.9B
        Mar 20, 2014 to Mar 19, 2015
      • Accounts · 58 to 43
        Mar 25, 2013 to Mar 20, 2014
      • Discretionary RAUM · $3.1B to $3.6B
        Mar 25, 2013 to Mar 20, 2014
      • RAUM · $3.1B to $3.6B
        Mar 25, 2013 to Mar 20, 2014
      • Accounts · 63 to 58
        Mar 29, 2012 to Mar 25, 2013
      • Advisory employees · unset to 5.0
        Mar 29, 2012 to Mar 25, 2013
      • Employees · unset to 11.0
        Mar 29, 2012 to Mar 25, 2013
      • Discretionary RAUM · $2.9B to $3.1B
        Mar 29, 2012 to Mar 25, 2013
      • RAUM · $2.9B to $3.1B
        Mar 29, 2012 to Mar 25, 2013
      Signals
      1 dated events
      • ••• Locked
        Mar 12, 2020 · 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