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SEC-registered adviser

A••••• A•••• A••••••• I••

Asset manager (funds and pooled vehicles)Hometown, IllinoisCRD 112441SEC 801-57323websiteIAPD
Latest filing Aug 10, 2026
First filing on the tape Mar 30, 2012 · 19 filings
SEC status approved since Mar 3, 2000
RAUM
$262M
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
3
1 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$262M as of Aug 10, 2026
Mar 30, 2012$39.6M then
HNW client RAUM$0 as of Jan 31, 2020
May 30, 2018$0 then
State-registered IARs (5.B.3)0 as of Aug 10, 2026
Mar 30, 20120 then
Employees (5.A)3 as of Aug 10, 2026
Mar 27, 20132 then
Private funds: no history
RAUM +60% over the last fiscal year+18% a year over threeIARs 1 to 0
Practice profile
derived from the filing of Aug 10, 2026; 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
$262MderivedRAUM 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
+22%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 businesses and institutions, portfolio management for investment companies, educational seminarsreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$262M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 days1 left over 36 months
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
    • C•••••• M••••••••• · Directorcontrol
      since 12/1999 · owns less than 5%
    • M••••• M•••••••• F••••• · Directorcontrol
      since 09/2000 · owns less than 5%
    • N••••• M•••••• · Managing Member/Chief Compliance Officercontrol
      since 09/2022 · owns less than 5%
    • O••••••••• S•••• · President/Chief Financial Officercontrol
      since 12/2015 · owns less than 5%
    • O••••• B••••• · Chief Executive Officercontrol
      since 12/1999 · owns less than 5%
    • S••••• G•••••• · Directorcontrol
      since 12/1999 · owns less than 5%
    • S•••••• M•••••••• A•• · Directorcontrol
      since 04/2004 · owns less than 5%
    Entity owners
    • T•• N•••• A••••••• I•••••• T••••• I••• · Shareholder
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Oak Brook, Il001
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    ADV anomalies
    1 against comparable advisers; where to look, not conclusions
    • discretionary share shiftChange between filings · filing Mar 31, 2025
      discretionary share of RAUM moved from 0.0% to 100.0% between the annual amendments of 2024-03-12 and 2025-03-31
      peers: asset managers, $100M to $500M (1,568)
    How anomalies are measured
    What changed
    consecutive filings, newest first
    • State-registered IARs · 1 to 0
      Mar 31, 2025 to Jul 1, 2026
    • Discretionary RAUM · $200M to $262M
      Mar 31, 2025 to Jul 1, 2026
    • RAUM · $200M to $262M
      Mar 31, 2025 to Jul 1, 2026
    • Accounts · 3 to 1
      Mar 12, 2024 to Mar 31, 2025
    • Charity clients · 1.0 to unset
      Mar 12, 2024 to Mar 31, 2025
    • Financial planning clients · unset to
      Mar 12, 2024 to Mar 31, 2025
    • Discretionary RAUM · $25,000 to $200M
      Mar 12, 2024 to Mar 31, 2025
    • Non-discretionary RAUM · $163M to $0
      Mar 12, 2024 to Mar 31, 2025
    • RAUM · $163M to $200M
      Mar 12, 2024 to Mar 31, 2025
    • Accounts · 2 to 3
      Mar 29, 2023 to Mar 12, 2024
    • Discretionary RAUM · $128M to $25,000
      Mar 29, 2023 to Mar 12, 2024
    • Non-discretionary RAUM · $0 to $163M
      Mar 29, 2023 to Mar 12, 2024
    • RAUM · $128M to $163M
      Mar 29, 2023 to Mar 12, 2024
    • Accounts · 1 to 2
      Sep 22, 2022 to Mar 29, 2023
    • Charity clients · unset to 1.0
      Sep 22, 2022 to Mar 29, 2023
    • Employees · 1 to 3
      Sep 22, 2022 to Mar 29, 2023
    • Discretionary RAUM · $160M to $128M
      Sep 22, 2022 to Mar 29, 2023
    • RAUM · $160M to $128M
      Sep 22, 2022 to Mar 29, 2023
    • HQ city · OAK BROOK to HOMETOWN
      Mar 17, 2022 to Sep 22, 2022
    • Advisory activities · 2 to 3
      Mar 31, 2021 to Mar 17, 2022
    • Financial planning clients · 0 to unset
      Mar 31, 2021 to Mar 17, 2022
    • Discretionary RAUM · $142M to $160M
      Mar 31, 2021 to Mar 17, 2022
    • RAUM · $142M to $160M
      Mar 31, 2021 to Mar 17, 2022
    • BD registered reps · 0 to 1
      Jan 14, 2021 to Mar 31, 2021
    • HNW clients · 0.0 to unset
      Jan 14, 2021 to Mar 31, 2021
    • Individual clients · 0.0 to unset
      Jan 14, 2021 to Mar 31, 2021
    • Pooled vehicle clients · 0.0 to unset
      Jan 14, 2021 to Mar 31, 2021
    • State-registered IARs · 0 to 1
      Jan 14, 2021 to Mar 31, 2021
    • Discretionary RAUM · $133M to $142M
      Jan 14, 2021 to Mar 31, 2021
    • HNW RAUM · 0.0 to unset
      Jan 14, 2021 to Mar 31, 2021
    • Individual RAUM · 0.0 to unset
      Jan 14, 2021 to Mar 31, 2021
    • RAUM · $133M to $142M
      Jan 14, 2021 to Mar 31, 2021
    • Employees · 2 to 1
      Apr 10, 2019 to Jan 31, 2020
    • Discretionary RAUM · $96.7M to $133M
      Apr 10, 2019 to Jan 31, 2020
    • RAUM · $96.7M to $133M
      Apr 10, 2019 to Jan 31, 2020
    • Discretionary RAUM · $97.0M to $96.7M
      May 30, 2018 to Apr 10, 2019
    • RAUM · $97.0M to $96.7M
      May 30, 2018 to Apr 10, 2019
    • Accounts · 500 to 1
      Jul 26, 2017 to May 30, 2018
    • HNW clients · unset to 0.0
      Jul 26, 2017 to May 30, 2018
    • Individual clients · unset to 0.0
      Jul 26, 2017 to May 30, 2018
    Signals
    4 dated events
    • M•••••• N•••• left A••••• A•••• A••••••• I•• for G••••••• I••••••••• L•• (registered 2025-06-14)
      Dec 31, 2025 · Advisor changed firm · fact
    • Muzammil Siddiqi (Director) no longer on Schedule A of A••••• A•••• A••••••• I•• (listed 2023-03-29, absent 2024-03-12)
      Mar 12, 2024 · Control person left · inference
    • A••• N••••••••• (Chief Compliance Officer) no longer on Schedule A of A••••• A•••• A••••••• I•• (listed 2022-03-17, absent 2022-09-22)
      Sep 22, 2022 · Control person left · inference
    • M•••••• N•••• (Managing Member/Chief Compliance Officer) appeared on Schedule A of A••••• A•••• A••••••• I••
      Sep 22, 2022 · Control person joined · fact
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    How to reach
    public business contact points only, each with its source
    Website
    w••.i••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
    Principal office phone
    877-417-6161reportedpublic record, Form ADV, Aug 10, 2026
    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
    Asset manager (funds and pooled vehicles)deriveda 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