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Former SEC-registered adviser

A•• A•••••••• I•••

Former SEC-registered adviserSt. Charles, IllinoisCRD 127364SEC 801-62202IAPD
Latest filing Jul 24, 2020
First filing on the tape Mar 28, 2012 · 26 filings
RAUM
$256M
reported, Item 5.F
Discretionary
40%
of RAUM
Private clients
39%
$99.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$256M as of Mar 25, 2020
Mar 28, 2012$234M then
HNW client RAUM$82.8M as of Mar 25, 2020
Mar 28, 2018$35.0M then
State-registered IARs (5.B.3)2 as of Mar 25, 2020
Mar 28, 20120 then
Employees (5.A)3 as of Mar 25, 2020
Apr 1, 20133 then
Private funds: no history
RAUM +45% over the last fiscal year-25% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jul 24, 2020; every figure names its basis
RAUM per advisor
$128MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
29derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.6MderivedHNW RAUM over HNW clients
Average account
$1.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
40%derivedof RAUM
Institutional
60%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
0.7derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+45%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+3.6%derived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, educational seminarsreportedItem 5.G
Custody
$69.8M, 53 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • State and municipal entities$154M60%
  • High-net-worth individuals$82.8M32%
  • Individuals$16.7M6.5%
  • Corporations and businesses$2.7M1.1%
Individual clients
26reported
HNW clients
32reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
223reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
$69.8M for 53 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
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
    • L•••••• C••••• R•••••• · Presidentcontrol
      since 09/1995 · owns 75% or more
    • P•••• J••••• L•• · Senior Wealth Advisorcontrol
      since 01/2020 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Chicago, IL2 employees
    • Des Moines, IA1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 197 to 223
      Mar 8, 2019 to Mar 25, 2020
    • Corporate clients · 1 to 2
      Mar 8, 2019 to Mar 25, 2020
    • HNW clients · 29 to 32
      Mar 8, 2019 to Mar 25, 2020
    • Individual clients · 27 to 26
      Mar 8, 2019 to Mar 25, 2020
    • Assets in custody · $29.4M to $69.8M
      Mar 8, 2019 to Mar 25, 2020
    • Discretionary RAUM · $54.7M to $102M
      Mar 8, 2019 to Mar 25, 2020
    • HNW RAUM · $47.2M to $82.8M
      Mar 8, 2019 to Mar 25, 2020
    • Individual RAUM · $6.1M to $16.7M
      Mar 8, 2019 to Mar 25, 2020
    • Non-discretionary RAUM · $121M to $154M
      Mar 8, 2019 to Mar 25, 2020
    • RAUM · $176M to $256M
      Mar 8, 2019 to Mar 25, 2020
    • Accounts · 152 to 197
      Sep 20, 2018 to Mar 8, 2019
    • HNW clients · 35 to 29
      Sep 20, 2018 to Mar 8, 2019
    • Individual clients · 10 to 27
      Sep 20, 2018 to Mar 8, 2019
    • Pension plan clients · 2 to 0
      Sep 20, 2018 to Mar 8, 2019
    • Assets in custody · $23.1M to $29.4M
      Sep 20, 2018 to Mar 8, 2019
    • Employees · 2 to 3
      Sep 20, 2018 to Mar 8, 2019
    • Discretionary RAUM · $40.6M to $54.7M
      Sep 20, 2018 to Mar 8, 2019
    • HNW RAUM · $35.0M to $47.2M
      Sep 20, 2018 to Mar 8, 2019
    • Individual RAUM · $4.1M to $6.1M
      Sep 20, 2018 to Mar 8, 2019
    • Non-discretionary RAUM · $143M to $121M
      Sep 20, 2018 to Mar 8, 2019
    • Pension RAUM · $143M to $0
      Sep 20, 2018 to Mar 8, 2019
    • RAUM · $183M to $176M
      Sep 20, 2018 to Mar 8, 2019
    • Other offices · 1 to 2
      Mar 28, 2018 to Sep 20, 2018
    • Accounts · 162 to 152
      Nov 22, 2017 to Mar 28, 2018
    • Advisory activities · 5 to 4
      Nov 22, 2017 to Mar 28, 2018
    • Corporate clients · 0 to 1
      Nov 22, 2017 to Mar 28, 2018
    • HNW clients · 19 to 35
      Nov 22, 2017 to Mar 28, 2018
    • Individual clients · 22 to 10
      Nov 22, 2017 to Mar 28, 2018
    • Pension plan clients · 0 to 2
      Nov 22, 2017 to Mar 28, 2018
    • Assets in custody · unset to 23070162.0
      Nov 22, 2017 to Mar 28, 2018
    • Custody of client assets · false to true
      Nov 22, 2017 to Mar 28, 2018
    • Discretionary RAUM · $33.2M to $40.6M
      Nov 22, 2017 to Mar 28, 2018
    • HNW RAUM · $23.3M to $35.0M
      Nov 22, 2017 to Mar 28, 2018
    • Individual RAUM · $9.9M to $4.1M
      Nov 22, 2017 to Mar 28, 2018
    • Non-discretionary RAUM · $573M to $143M
      Nov 22, 2017 to Mar 28, 2018
    • Pension RAUM · unset to 142609397.0
      Nov 22, 2017 to Mar 28, 2018
    • Pooled vehicle RAUM · unset to 0.0
      Nov 22, 2017 to Mar 28, 2018
    • RAUM · $606M to $183M
      Nov 22, 2017 to Mar 28, 2018
    • Advisory employees · 1 to 2
      Oct 3, 2017 to Nov 22, 2017
    • Charity clients · unset to 0.0
      Oct 3, 2017 to Nov 22, 2017
    Signals
    1 dated events
    • A•• A•••••••• I••• reported RAUM $183.2M, down 70% from $605.9M (2017-11-22 to 2018-03-28)
      Mar 28, 2018 · 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