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Former SEC-registered adviserFormer SEC adviser· Chicago, Illinois

Former SEC-registered adviser, based in Chicago, Illinois, reporting $122M of regulatory assets.

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

As of 2015-03-09 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $122M
Advisors: Not applicable
Net advisor flow, 12 months: Not applicable
RAUM change, last fiscal year: +10%
Private clients: 0.0% of RAUM

Advisors Advisor movement Where the RAUM sits

As of 2015-03-09 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What we can say about this record

We hold 4 Form ADV filings for this adviser, the latest 11.7 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 132362 · SEC 801-63440 · 4 filingsShow

CRD 132362SEC 801-63440First filing on the tape Mar 12, 2012, latest Mar 9, 2015IAPD

RAUM

$122M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

n/a

beyond the principal office

Private funds

reported on Schedule D

History

4 filings and snapshots on the tape

RAUM$122M as of Mar 9, 2015

Mar 12, 2012$98.4M then

HNW client RAUM: no history

State-registered IARs (5.B.3)1 as of Mar 9, 2015

Mar 12, 20120 then

Employees (5.A)1 as of Mar 9, 2015

Mar 15, 20132 then

Private funds: no history

RAUM +10% over the last fiscal year+7.3% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Mar 9, 2015; every figure names its basis

RAUM per advisor: $122MderivedRAUM 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: $719,610derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +10%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 assets, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 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: 169reported
Financial planning clients: 26-50reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixedreported
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 departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

S••••••••• C••••• D•••••• · Chief Financial Officercontrol
since 08/2004 · owns 75% or more

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 · 158 to 169
Mar 19, 2014 to Mar 9, 2015
Discretionary RAUM · $110M to $122M
Mar 19, 2014 to Mar 9, 2015
RAUM · $110M to $122M
Mar 19, 2014 to Mar 9, 2015
Accounts · 189 to 158
Mar 15, 2013 to Mar 19, 2014
Employees · 2 to 1
Mar 15, 2013 to Mar 19, 2014
Discretionary RAUM · $101M to $110M
Mar 15, 2013 to Mar 19, 2014
Non-discretionary RAUM · $1.7M to $0
Mar 15, 2013 to Mar 19, 2014
RAUM · $103M to $110M
Mar 15, 2013 to Mar 19, 2014
Accounts · 217 to 189
Mar 12, 2012 to Mar 15, 2013
Advisory employees · unset to 1.0
Mar 12, 2012 to Mar 15, 2013
Employees · unset to 2.0
Mar 12, 2012 to Mar 15, 2013
State-registered IARs · 0 to 1
Mar 12, 2012 to Mar 15, 2013
Discretionary RAUM · $94.1M to $101M
Mar 12, 2012 to Mar 15, 2013
Non-discretionary RAUM · $4.3M to $1.7M
Mar 12, 2012 to Mar 15, 2013
RAUM · $98.4M to $103M
Mar 12, 2012 to Mar 15, 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