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Former SEC-registered adviser

B•• P•••••••• L••

Former SEC-registered adviserChicago, IllinoisCRD 129419SEC 801-62645IAPD
Latest filing Mar 27, 2014
First filing on the tape Mar 27, 2012 · 5 filings
RAUM
$432M
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
9
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$432M as of Mar 26, 2014
Mar 27, 2012$148M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2014
Mar 27, 20120 then
Employees (5.A)9 as of Mar 26, 2014
Apr 1, 20139 then
Private funds: no history
RAUM +25% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2014; 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
$1.8MderivedRAUM 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
+25%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, hourly, fixed fees, commissions, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
Custody
$2.4M, 10 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
  • is an insurance broker or agent (6.A.6)
  • 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)
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
234reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
$2.4M for 10 clientsreported
Compensation
% of AUM, fixed, hourly, commissionsreported
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•••• A••••• C••••• · Managing Membercontrol
        since 11/2003 · owns 50% to 75%
      • R•••••••• W••••••• E•••••• · Managing Member/Chief Compliance Officercontrol
        since 11/2004 · owns 50% to 75%
      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 · 171 to 234
        Jun 25, 2013 to Mar 26, 2014
      • Assets in custody · $44.8M to $2.4M
        Jun 25, 2013 to Mar 26, 2014
      • Discretionary RAUM · $346M to $432M
        Jun 25, 2013 to Mar 26, 2014
      • RAUM · $346M to $432M
        Jun 25, 2013 to Mar 26, 2014
      • Accounts · 89 to 171
        Mar 27, 2012 to Apr 1, 2013
      • Advisory employees · unset to 2.0
        Mar 27, 2012 to Apr 1, 2013
      • Assets in custody · $173M to $44.8M
        Mar 27, 2012 to Apr 1, 2013
      • Employees · unset to 9.0
        Mar 27, 2012 to Apr 1, 2013
      • Discretionary RAUM · $148M to $346M
        Mar 27, 2012 to Apr 1, 2013
      • RAUM · $148M to $346M
        Mar 27, 2012 to Apr 1, 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