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B••••••••• A•••• M••••••••• I•••

Former SEC-registered adviserFormer SEC adviser· Chicago, Illinoiswebsite

Former SEC-registered adviser, based in Chicago, Illinois, reporting $54.2M of regulatory assets across 4 registered advisors.

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

Last reported RAUM
$54.2M
Form ADV
Advisors
4
IAPD
Net advisor flow, 12 months
0 (0 in, 0 out)
IAPD registration history
RAUM change, last fiscal year
Not applicable
Private clients
0.0% of RAUM
Form ADV
Advisors (4)Advisor 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 113740 · SEC 801-62938 · 3 filingsShow
CRD 113740SEC 801-62938First filing on the tape Jan 24, 2012, latest Oct 22, 2012IAPD
RAUM
$54.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$13.5M
derived; firm RAUM over IAPD count
Employees
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$54.2M as of Oct 22, 2012
Jan 24, 2012$53.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Oct 22, 2012; every figure names its basis
RAUM per advisor
$13.5MderivedRAUM 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
$589,108derivedRAUM 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
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 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
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
92reported
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
4 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J••• T••••• D••••••Chartered Financial AnalystChicago, IlDec 9, 199734 y0
J•• P••• W•••••••Chicago, IlAug 21, 200345 y0
A•••••••• P•••• P••••Chartered Financial AnalystChicago, IlJun 14, 200641 y0
G••• F•••• P•••••••••Chartered Financial AnalystChicago, IlJun 14, 200639 y0
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • P••••• A••••••••• P•••• · Founder And Chairmancontrol
    since 09/1985 · owns 75% or more
  • P••••• A••••••••• P•••• · Presidentcontrol
    since 03/2004 · owns less than 5%
  • P••••• G••••••• D•••• · Executive Vice President & Chief Compliance Officercontrol
    since 03/2004 · owns less than 5%
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Chicago, Il · principal400
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 96 to 92
    Jan 24, 2012 to Mar 7, 2012
  • Discretionary RAUM · $53.3M to $54.2M
    Jan 24, 2012 to Mar 7, 2012
  • RAUM · $53.3M to $54.2M
    Jan 24, 2012 to Mar 7, 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.
How to reach
public business contact points only, each with its source
Website
••• Lockedreportedpublic record, Form ADV, Mar 3, 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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
$13.5Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026