DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Premier Asset Management LLC

Former SEC-registered adviserChicago, IllinoisCRD 115439SEC 801-60559IAPD
Latest filing Mar 24, 2023
First filing on the tape Nov 18, 2011 · 33 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$809M as of Mar 31, 2022
Mar 26, 2012$415M then
HNW client RAUM$0 as of Mar 24, 2023
Mar 29, 2018$546M then
State-registered IARs (5.B.3)0 as of Mar 24, 2023
Mar 26, 20120 then
Employees (5.A)2 as of Mar 24, 2023
Mar 28, 20137 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 2 to 0
Practice profile
derived from the filing of Mar 24, 2023; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
-100%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
otherreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • 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
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Ross David Bucur · Chief Compliance Officercontrol
    since 11/2022 · owns less than 5%
  • Henry August Schupp · Chief Legal Officercontrol
    since 03/2022 · owns less than 5%
  • Paul James Steiner · Presidentcontrol
    since 03/2022 · owns less than 5%
Entity owners
  • Old National Bancorp · Shareholder
    direct · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 160.0 to unset
    Nov 3, 2022 to Mar 24, 2023
  • Advisory employees · 10 to 0
    Nov 3, 2022 to Mar 24, 2023
  • Advisory activities · 3 to 1
    Nov 3, 2022 to Mar 24, 2023
  • Charity clients · 13 to 0
    Nov 3, 2022 to Mar 24, 2023
  • Corporate clients · 11 to 0
    Nov 3, 2022 to Mar 24, 2023
  • HNW clients · 130 to 0
    Nov 3, 2022 to Mar 24, 2023
  • Individual clients · unset to 0.0
    Nov 3, 2022 to Mar 24, 2023
  • Pension plan clients · 3 to 0
    Nov 3, 2022 to Mar 24, 2023
  • Pooled vehicle clients · unset to 0.0
    Nov 3, 2022 to Mar 24, 2023
  • Assets in custody · $15.3M to $0
    Nov 3, 2022 to Mar 24, 2023
  • Custody of client assets · true to false
    Nov 3, 2022 to Mar 24, 2023
  • Employees · 11 to 2
    Nov 3, 2022 to Mar 24, 2023
  • Financial planning clients · unset to 0
    Nov 3, 2022 to Mar 24, 2023
  • State-registered IARs · 4 to 0
    Nov 3, 2022 to Mar 24, 2023
  • Discretionary RAUM · 809124132.0 to unset
    Nov 3, 2022 to Mar 24, 2023
  • HNW RAUM · $685M to $0
    Nov 3, 2022 to Mar 24, 2023
  • Individual RAUM · unset to 0.0
    Nov 3, 2022 to Mar 24, 2023
  • Non-discretionary RAUM · 0.0 to unset
    Nov 3, 2022 to Mar 24, 2023
  • Pension RAUM · $7.2M to $0
    Nov 3, 2022 to Mar 24, 2023
  • Pooled vehicle RAUM · unset to 0.0
    Nov 3, 2022 to Mar 24, 2023
  • RAUM · 809124132.0 to unset
    Nov 3, 2022 to Mar 24, 2023
  • Employees · 12 to 11
    Jun 28, 2022 to Nov 3, 2022
  • State-registered IARs · 2 to 4
    Jun 28, 2022 to Nov 3, 2022
  • Advisory employees · 8 to 10
    Jun 14, 2022 to Jun 28, 2022
  • Employees · 11 to 12
    Jun 14, 2022 to Jun 28, 2022
  • Advisory employees · 6 to 8
    Apr 1, 2022 to Jun 14, 2022
  • Employees · 9 to 11
    Apr 1, 2022 to Jun 14, 2022
  • Accounts · 505 to 160
    Oct 19, 2021 to Mar 31, 2022
  • Advisory employees · 8 to 6
    Oct 19, 2021 to Mar 31, 2022
  • Charity clients · 6 to 13
    Oct 19, 2021 to Mar 31, 2022
  • HNW clients · 155 to 130
    Oct 19, 2021 to Mar 31, 2022
  • Pension plan clients · 7 to 3
    Oct 19, 2021 to Mar 31, 2022
  • Assets in custody · $292M to $15.3M
    Oct 19, 2021 to Mar 31, 2022
  • Discretionary RAUM · $911M to $809M
    Oct 19, 2021 to Mar 31, 2022
  • HNW RAUM · $799M to $685M
    Oct 19, 2021 to Mar 31, 2022
  • Pension RAUM · $16.7M to $7.2M
    Oct 19, 2021 to Mar 31, 2022
  • RAUM · $911M to $809M
    Oct 19, 2021 to Mar 31, 2022
  • Advisory employees · 10 to 8
    Feb 22, 2021 to Oct 19, 2021
  • Employees · 11 to 9
    Feb 22, 2021 to Oct 19, 2021
  • Accounts · 439 to 505
    Jun 29, 2020 to Feb 22, 2021
Signals
36 dated events
  • Matthew Frank Bappert left Premier Asset Management Llc for Lpl Financial Llc (registered 2024-11-04)
    Jun 7, 2023 · Advisor changed firm · fact
  • David Paul Becker no longer registered at Premier Asset Management Llc; no later IA registration on IAPD
    Jun 7, 2023 · Advisor departure · fact
  • Robert Brooks left Premier Asset Management Llc for Wealth Enhancement Advisory Services, Llc (registered 2023-06-14)
    May 8, 2023 · Advisor changed firm · fact
  • Joseph Ryan Cushing (Vice President And Treasurer) no longer on Schedule A of Premier Asset Management Llc (listed 2022-11-03, absent 2023-03-24)
    Mar 24, 2023 · Control person left · inference
  • Michael Christopher Knappstein (Vice President) no longer on Schedule A of Premier Asset Management Llc (listed 2022-11-03, absent 2023-03-24)
    Mar 24, 2023 · Control person left · inference
  • Allen Timothy Marx (Vice President) no longer on Schedule A of Premier Asset Management Llc (listed 2022-11-03, absent 2023-03-24)
    Mar 24, 2023 · Control person left · inference
  • Steven Nicholas Gergen (Vice President) no longer on Schedule A of Premier Asset Management Llc (listed 2022-11-03, absent 2023-03-24)
    Mar 24, 2023 · Control person left · inference
  • D Jason Garcia (Vice President) no longer on Schedule A of Premier Asset Management Llc (listed 2022-11-03, absent 2023-03-24)
    Mar 24, 2023 · Control person left · inference
  • Bayley Paul Carlson (Vice President) no longer on Schedule A of Premier Asset Management Llc (listed 2022-11-03, absent 2023-03-24)
    Mar 24, 2023 · Control person left · inference
  • Paul David Becker (Senior Managing Director) no longer on Schedule A of Premier Asset Management Llc (listed 2022-11-03, absent 2023-03-24)
    Mar 24, 2023 · Control person left · inference
  • Frank Matthew Bappert (Senior Portfolio Manager) no longer on Schedule A of Premier Asset Management Llc (listed 2022-11-03, absent 2023-03-24)
    Mar 24, 2023 · Control person left · inference
  • Anthony Robert Brooks (Senior Portfolio Manager) no longer on Schedule A of Premier Asset Management Llc (listed 2022-11-03, absent 2023-03-24)
    Mar 24, 2023 · Control person left · inference
  • Bertrina Sokona Smith (Chief Compliance Officer) no longer on Schedule A of Premier Asset Management Llc (listed 2022-06-28, absent 2022-11-03)
    Nov 3, 2022 · Control person left · inference
  • Ross David Bucur (Chief Compliance Officer) appeared on Schedule A of Premier Asset Management Llc
    Nov 3, 2022 · Control person joined · fact
  • Anthony Robert Brooks (Senior Portfolio Manager) appeared on Schedule A of Premier Asset Management Llc
    Jun 28, 2022 · Control person joined · fact
  • Paul David Becker (Senior Managing Director) appeared on Schedule A of Premier Asset Management Llc
    Jun 14, 2022 · Control person joined · fact
  • Frank Matthew Bappert (Senior Portfolio Manager) appeared on Schedule A of Premier Asset Management Llc
    Jun 14, 2022 · Control person joined · fact
  • Thomas Eugene Grooms left Premier Asset Management Llc for Sierra Summit Advisors Llc (registered 2024-04-03)
    Apr 15, 2022 · Advisor changed firm · fact
  • Christopher Steven Babinski (Vice President And Secretary) no longer on Schedule A of Premier Asset Management Llc (listed 2021-10-19, absent 2022-03-31)
    Mar 31, 2022 · Control person left · inference
  • Eugene Thomas Grooms (Vice President) no longer on Schedule A of Premier Asset Management Llc (listed 2021-10-19, absent 2022-03-31)
    Mar 31, 2022 · Control person left · inference
  • Mark Thomas Prame (President) no longer on Schedule A of Premier Asset Management Llc (listed 2021-10-19, absent 2022-03-31)
    Mar 31, 2022 · Control person left · inference
  • Paul James Steiner (President) appeared on Schedule A of Premier Asset Management Llc
    Mar 31, 2022 · Control person joined · fact
  • Henry August Schupp (Vice President And Secretary) appeared on Schedule A of Premier Asset Management Llc
    Mar 31, 2022 · Control person joined · fact
  • Allen Timothy Marx (Vice President) appeared on Schedule A of Premier Asset Management Llc
    Mar 31, 2022 · Control person joined · fact
  • Steven Nicholas Gergen (Vice President) appeared on Schedule A of Premier Asset Management Llc
    Mar 31, 2022 · Control person joined · fact
  • D Jason Garcia (Vice President) appeared on Schedule A of Premier Asset Management Llc
    Mar 31, 2022 · Control person joined · fact
  • Bayley Paul Carlson (Vice President) appeared on Schedule A of Premier Asset Management Llc
    Mar 31, 2022 · Control person joined · fact
  • Chris Kostiuk left Premier Asset Management Llc for Miramar Capital (registered 2022-01-10)
    Mar 2, 2022 · Advisor changed firm · fact
  • Mark Thomas Prame (President) appeared on Schedule A of Premier Asset Management Llc
    Oct 19, 2021 · Control person joined · fact
  • Michael Christopher Knappstein (Vice President) appeared on Schedule A of Premier Asset Management Llc
    Oct 19, 2021 · 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.
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