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Former SEC-registered adviser

C••• C•••••• S•••••••• L••

Former SEC-registered adviserNaperville, IllinoisCRD 136604SEC 801-64618IAPD
Latest filing Feb 14, 2019
First filing on the tape Mar 28, 2012 · 10 filings
RAUM
$115M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
48%
$55.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$115M as of Feb 14, 2019
Mar 28, 2012$113M then
HNW client RAUM$44.8M as of Feb 14, 2019
Mar 16, 2018$52.3M then
State-registered IARs (5.B.3)2 as of Feb 14, 2019
Mar 28, 20120 then
Employees (5.A)2 as of Feb 14, 2019
Mar 21, 20132 then
Private funds: no history
RAUM -14% over the last fiscal year-4.6% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 14, 2019; every figure names its basis
RAUM per advisor
$57.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
24derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.2MderivedHNW RAUM over HNW clients
Average account
$2.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
52%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-14%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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
  • 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
  • Pension and profit-sharing plans$59.6M52%
  • High-net-worth individuals$44.8M39%
  • Individuals$10.7M9.3%
Individual clients
28reported
HNW clients
20reported
Pension plan clients
7reported
Charitable clients
0reported
Accounts
53reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
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
      • F•••••• D••••• M•••••• · Chief Compliance Officer, Managing Membercontrol
        since 09/2001 · 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 · 55 to 53
        Mar 16, 2018 to Feb 14, 2019
      • Discretionary RAUM · $134M to $115M
        Mar 16, 2018 to Feb 14, 2019
      • HNW RAUM · $52.3M to $44.8M
        Mar 16, 2018 to Feb 14, 2019
      • Individual RAUM · $16.5M to $10.7M
        Mar 16, 2018 to Feb 14, 2019
      • Pension RAUM · $65.6M to $59.6M
        Mar 16, 2018 to Feb 14, 2019
      • RAUM · $134M to $115M
        Mar 16, 2018 to Feb 14, 2019
      • Accounts · 58 to 55
        Feb 23, 2017 to Mar 16, 2018
      • Charity clients · unset to 0.0
        Feb 23, 2017 to Mar 16, 2018
      • Corporate clients · unset to 0.0
        Feb 23, 2017 to Mar 16, 2018
      • HNW clients · unset to 20.0
        Feb 23, 2017 to Mar 16, 2018
      • Individual clients · unset to 28.0
        Feb 23, 2017 to Mar 16, 2018
      • Pension plan clients · unset to 7.0
        Feb 23, 2017 to Mar 16, 2018
      • Pooled vehicle clients · unset to 0.0
        Feb 23, 2017 to Mar 16, 2018
      • Other offices · unset to 0.0
        Feb 23, 2017 to Mar 16, 2018
      • Discretionary RAUM · $127M to $134M
        Feb 23, 2017 to Mar 16, 2018
      • HNW RAUM · unset to 52300832.0
        Feb 23, 2017 to Mar 16, 2018
      • Individual RAUM · unset to 16463199.0
        Feb 23, 2017 to Mar 16, 2018
      • Pension RAUM · unset to 65626609.0
        Feb 23, 2017 to Mar 16, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Feb 23, 2017 to Mar 16, 2018
      • RAUM · $127M to $134M
        Feb 23, 2017 to Mar 16, 2018
      • Accounts · 66 to 58
        Mar 3, 2016 to Feb 23, 2017
      • Discretionary RAUM · $133M to $127M
        Mar 3, 2016 to Feb 23, 2017
      • RAUM · $133M to $127M
        Mar 3, 2016 to Feb 23, 2017
      • Accounts · 70 to 66
        Feb 19, 2015 to Mar 3, 2016
      • Discretionary RAUM · $141M to $133M
        Feb 19, 2015 to Mar 3, 2016
      • RAUM · $141M to $133M
        Feb 19, 2015 to Mar 3, 2016
      • Accounts · 73 to 70
        Mar 19, 2014 to Feb 19, 2015
      • Discretionary RAUM · $140M to $141M
        Mar 19, 2014 to Feb 19, 2015
      • RAUM · $140M to $141M
        Mar 19, 2014 to Feb 19, 2015
      • Accounts · 74 to 73
        Nov 27, 2013 to Mar 19, 2014
      • Discretionary RAUM · $116M to $140M
        Nov 27, 2013 to Mar 19, 2014
      • RAUM · $116M to $140M
        Nov 27, 2013 to Mar 19, 2014
      • Accounts · 77 to 74
        Mar 28, 2012 to Mar 21, 2013
      • Advisory employees · unset to 2.0
        Mar 28, 2012 to Mar 21, 2013
      • Employees · unset to 2.0
        Mar 28, 2012 to Mar 21, 2013
      • State-registered IARs · 0 to 2
        Mar 28, 2012 to Mar 21, 2013
      • Discretionary RAUM · $113M to $116M
        Mar 28, 2012 to Mar 21, 2013
      • RAUM · $113M to $116M
        Mar 28, 2012 to Mar 21, 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