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Former SEC-registered adviser

E•••••••• A•••• M••••••••• L••

Former SEC-registered adviserChicago, IllinoisCRD 136853SEC 801-72598IAPD
Latest filing Mar 16, 2020
First filing on the tape Feb 17, 2012 · 12 filings
RAUM
$67.3M
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$65.0M gross assets
History
12 filings and snapshots on the tape
RAUM$67.3M as of Mar 16, 2020
Feb 17, 2012$46.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 16, 2020
Feb 17, 20120 then
Employees (5.A)1 as of Mar 16, 2020
Feb 25, 20132 then
Private funds1 as of Mar 16, 2020
Feb 17, 20121 then
RAUM +3.6% over the last fiscal year+3.6% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Mar 16, 2020; 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
$67.3MderivedRAUM 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
+3.6%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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$67.3M, 1 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)
  • 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
  • Pooled investment vehicles$67.3M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$67.3M for 1 clientsreported
Compensation
% of AUM, performancereported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      E•••••••• F••• ••• L••Hedge Fund$65.0M23Feb 17, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • D••• C•••••••• A•• · Chief Compliance Officer, Managing Directorcontrol
        since 10/2003 · owns 10% to 25%
      • M••••• N•••• G••••• · Managing Directorcontrol
        since 10/2003 · owns 25% to 50%
      • B••••••••• K••••• D•••••• · Managing Director
        since 01/2011 · owns 10% to 25%
      • G•••••• D••••••• T••• · Investment Committee Member
        since 08/2007 · owns 10% to 25%
      • G••••••••• B•••••• J•• · Managing Director
        since 10/2003 · owns 10% to 25%
      • S•••••• R••••••• L••••••• · Investment Committee Member
        since 03/2013 · owns 5% to 10%
      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
      • Assets in custody · $65.0M to $67.3M
        Feb 25, 2019 to Mar 16, 2020
      • Other offices · 1 to 0
        Feb 25, 2019 to Mar 16, 2020
      • Discretionary RAUM · $65.0M to $67.3M
        Feb 25, 2019 to Mar 16, 2020
      • Pooled vehicle RAUM · $65.0M to $67.3M
        Feb 25, 2019 to Mar 16, 2020
      • RAUM · $65.0M to $67.3M
        Feb 25, 2019 to Mar 16, 2020
      • Assets in custody · $61.6M to $65.0M
        Feb 13, 2018 to Feb 25, 2019
      • Discretionary RAUM · $64.6M to $65.0M
        Feb 13, 2018 to Feb 25, 2019
      • Pooled vehicle RAUM · $64.6M to $65.0M
        Feb 13, 2018 to Feb 25, 2019
      • RAUM · $64.6M to $65.0M
        Feb 13, 2018 to Feb 25, 2019
      • Pooled vehicle clients · unset to 1.0
        Feb 28, 2017 to Feb 13, 2018
      • Assets in custody · $60.5M to $61.6M
        Feb 28, 2017 to Feb 13, 2018
      • Other offices · unset to 1.0
        Feb 28, 2017 to Feb 13, 2018
      • Discretionary RAUM · $60.5M to $64.6M
        Feb 28, 2017 to Feb 13, 2018
      • Pooled vehicle RAUM · unset to 64615000.0
        Feb 28, 2017 to Feb 13, 2018
      • RAUM · $60.5M to $64.6M
        Feb 28, 2017 to Feb 13, 2018
      • Advisory employees · 2 to 1
        Mar 23, 2016 to Feb 28, 2017
      • Assets in custody · $56.3M to $60.5M
        Mar 23, 2016 to Feb 28, 2017
      • Employees · 2 to 1
        Mar 23, 2016 to Feb 28, 2017
      • Discretionary RAUM · $56.3M to $60.5M
        Mar 23, 2016 to Feb 28, 2017
      • RAUM · $56.3M to $60.5M
        Mar 23, 2016 to Feb 28, 2017
      • Assets in custody · $56.4M to $56.3M
        Mar 12, 2015 to Mar 23, 2016
      • Discretionary RAUM · $56.2M to $56.3M
        Mar 12, 2015 to Mar 23, 2016
      • RAUM · $56.2M to $56.3M
        Mar 12, 2015 to Mar 23, 2016
      • Assets in custody · $51.2M to $56.4M
        Jun 17, 2014 to Mar 12, 2015
      • Discretionary RAUM · $51.2M to $56.2M
        Jun 17, 2014 to Mar 12, 2015
      • RAUM · $51.2M to $56.2M
        Jun 17, 2014 to Mar 12, 2015
      • Assets in custody · $45.8M to $51.2M
        Jun 28, 2013 to Feb 14, 2014
      • Discretionary RAUM · $45.8M to $51.2M
        Jun 28, 2013 to Feb 14, 2014
      • RAUM · $45.8M to $51.2M
        Jun 28, 2013 to Feb 14, 2014
      • Advisory employees · unset to 2.0
        Feb 17, 2012 to Feb 25, 2013
      • Assets in custody · $46.0M to $45.8M
        Feb 17, 2012 to Feb 25, 2013
      • Employees · unset to 2.0
        Feb 17, 2012 to Feb 25, 2013
      • Discretionary RAUM · $46.0M to $45.8M
        Feb 17, 2012 to Feb 25, 2013
      • RAUM · $46.0M to $45.8M
        Feb 17, 2012 to Feb 25, 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