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Former SEC-registered adviser

I••••••••• C•••••• M••••••••• L•

Former SEC-registered adviserOakbrook Terrace, IllinoisCRD 110153SEC 801-57534IAPD
Latest filing Mar 23, 2017
First filing on the tape Mar 21, 2012 · 10 filings
RAUM
$2.8B
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
38
16 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$2.8B as of Mar 23, 2017
Mar 21, 2012$6.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 23, 2017
Mar 21, 20120 then
Employees (5.A)38 as of Mar 23, 2017
Mar 21, 201341 then
Private funds: no history
RAUM -12% over the last fiscal year-23% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 23, 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
$74.6MderivedRAUM 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
-12%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, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, 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
38reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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••••• T•• M•••••• · Chief Operating Officercontrol
        since 08/2009 · owns less than 5%
      • D••••• J•••• G•••• · Chief Compliance Officercontrol
        since 05/2003 · owns less than 5%
      • E•••••• S•••••• T••••• · Partner And Director Of Researchcontrol
        since 04/1999 · owns 10% to 25%
      • F••••• C••••••••• C•••••• · Portfolio Manager And Presidentcontrol
        since 05/1999 · owns 10% to 25%
      • M•••••• E••••••••• H•••••••• · Chief Administrative Officercontrol
        since 04/1999 · owns 5% to 10%
      • F••••• C••••••••• C•••••• · Shareholdercontrol
        since 08/2005 · owns 75% or more of I••••••••• C•••••• G•• I•••
      • H••••••••• R•••••• E••••• · Partner
        since 04/1999 · owns 5% to 10%
      • M•••••• J••••••• B•••••• · Portfolio Manager
        since 06/2002 · owns 5% to 10%
      Entity owners
      • I••••••••• C•••••• G•• I••• · General Partner
        direct · 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 · 40 to 38
        Mar 18, 2016 to Mar 23, 2017
      • BD registered reps · 1 to 3
        Mar 18, 2016 to Mar 23, 2017
      • Discretionary RAUM · $3.2B to $2.8B
        Mar 18, 2016 to Mar 23, 2017
      • RAUM · $3.2B to $2.8B
        Mar 18, 2016 to Mar 23, 2017
      • Accounts · 46 to 40
        Mar 27, 2015 to Mar 18, 2016
      • Employees · 41 to 38
        Mar 27, 2015 to Mar 18, 2016
      • Discretionary RAUM · $4.8B to $3.2B
        Mar 27, 2015 to Mar 18, 2016
      • RAUM · $4.8B to $3.2B
        Mar 27, 2015 to Mar 18, 2016
      • Accounts · 54 to 46
        Mar 27, 2014 to Mar 26, 2015
      • Advisory employees · 18 to 16
        Mar 27, 2014 to Mar 26, 2015
      • BD registered reps · 2 to 1
        Mar 27, 2014 to Mar 26, 2015
      • Discretionary RAUM · $6.2B to $4.8B
        Mar 27, 2014 to Mar 26, 2015
      • RAUM · $6.2B to $4.8B
        Mar 27, 2014 to Mar 26, 2015
      • Accounts · 81 to 54
        Aug 15, 2013 to Mar 27, 2014
      • Advisory employees · 17 to 18
        Aug 15, 2013 to Mar 27, 2014
      • Discretionary RAUM · $6.0B to $6.2B
        Aug 15, 2013 to Mar 27, 2014
      • RAUM · $6.0B to $6.2B
        Aug 15, 2013 to Mar 27, 2014
      • BD registered reps · 0 to 2
        Mar 21, 2013 to Aug 15, 2013
      • Accounts · 93 to 81
        May 14, 2012 to Mar 21, 2013
      • Advisory employees · unset to 17.0
        May 14, 2012 to Mar 21, 2013
      • Employees · unset to 41.0
        May 14, 2012 to Mar 21, 2013
      • Discretionary RAUM · $6.1B to $6.0B
        May 14, 2012 to Mar 21, 2013
      • RAUM · $6.1B to $6.0B
        May 14, 2012 to Mar 21, 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