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Former SEC-registered adviser

N••••• S••••••

Former SEC-registered adviserDeerfield, IllinoisCRD 142255SEC 801-67605IAPD
Legal name N••••• • S••••••• L••
Latest filing Nov 22, 2022
First filing on the tape Jan 12, 2012 · 14 filings
RAUM
$320M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
99%
$315M 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
14 filings and snapshots on the tape
RAUM$320M as of Jan 19, 2022
Jan 12, 2012$191M then
HNW client RAUM$247M as of Jan 19, 2022
Jan 25, 2018$196M then
State-registered IARs (5.B.3)2 as of Jan 19, 2022
Jan 12, 20120 then
Employees (5.A)2 as of Jan 19, 2022
Jan 3, 20132 then
Private funds: no history
RAUM +6.9% over the last fiscal year+7.7% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Nov 22, 2022; every figure names its basis
RAUM per advisor
$160MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
195derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.4MderivedHNW RAUM over HNW clients
Average account
$357,481derivedRAUM over accounts (5.F.2.f)
Discretionary
89%derivedof RAUM
Institutional
0.8%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
+6.9%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-1.8%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Custody
$88.5M, 137 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
  • High-net-worth individuals$247M77%
  • Individuals$68.2M21%
  • Pension and profit-sharing plans$2.5M0.8%
  • Corporations and businesses$2.1M0.6%
Individual clients
284reported
HNW clients
105reported
Pension plan clients
1reported
Charitable clients
n/areported
Accounts
894reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$88.5M for 137 clientsreported
Compensation
% of AUMreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • N•••••• J•••• L••••••• · Membercontrol
    since 10/2006 · owns 50% to 75%
  • S••••••• B••••• J•••••• · Member/Chief Compliance Officercontrol
    since 10/2006 · 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 · 917 to 894
    Jan 25, 2021 to Jan 19, 2022
  • Corporate clients · 2 to 1
    Jan 25, 2021 to Jan 19, 2022
  • Individual clients · 291 to 284
    Jan 25, 2021 to Jan 19, 2022
  • Pension plan clients · 2 to 1
    Jan 25, 2021 to Jan 19, 2022
  • Assets in custody · $64.0M to $88.5M
    Jan 25, 2021 to Jan 19, 2022
  • Discretionary RAUM · $261M to $285M
    Jan 25, 2021 to Jan 19, 2022
  • HNW RAUM · $224M to $247M
    Jan 25, 2021 to Jan 19, 2022
  • Individual RAUM · $65.4M to $68.2M
    Jan 25, 2021 to Jan 19, 2022
  • Non-discretionary RAUM · $37.5M to $34.2M
    Jan 25, 2021 to Jan 19, 2022
  • Pension RAUM · $7.6M to $2.5M
    Jan 25, 2021 to Jan 19, 2022
  • RAUM · $299M to $320M
    Jan 25, 2021 to Jan 19, 2022
  • Accounts · 893 to 917
    Jun 29, 2020 to Jan 25, 2021
  • HNW clients · 102 to 105
    Jun 29, 2020 to Jan 25, 2021
  • Individual clients · 296 to 291
    Jun 29, 2020 to Jan 25, 2021
  • Assets in custody · unset to 63961958.0
    Jun 29, 2020 to Jan 25, 2021
  • Custody of client assets · false to true
    Jun 29, 2020 to Jan 25, 2021
  • Discretionary RAUM · $219M to $261M
    Jun 29, 2020 to Jan 25, 2021
  • HNW RAUM · $188M to $224M
    Jun 29, 2020 to Jan 25, 2021
  • Individual RAUM · $72.1M to $65.4M
    Jun 29, 2020 to Jan 25, 2021
  • Non-discretionary RAUM · $50.3M to $37.5M
    Jun 29, 2020 to Jan 25, 2021
  • Pension RAUM · $7.7M to $7.6M
    Jun 29, 2020 to Jan 25, 2021
  • RAUM · $269M to $299M
    Jun 29, 2020 to Jan 25, 2021
  • Accounts · 874 to 893
    Jan 16, 2019 to Jan 23, 2020
  • Corporate clients · 1 to 2
    Jan 16, 2019 to Jan 23, 2020
  • HNW clients · 96 to 102
    Jan 16, 2019 to Jan 23, 2020
  • Individual clients · 271 to 296
    Jan 16, 2019 to Jan 23, 2020
  • Discretionary RAUM · $205M to $219M
    Jan 16, 2019 to Jan 23, 2020
  • HNW RAUM · $178M to $188M
    Jan 16, 2019 to Jan 23, 2020
  • Individual RAUM · $68.8M to $72.1M
    Jan 16, 2019 to Jan 23, 2020
  • Non-discretionary RAUM · $50.4M to $50.3M
    Jan 16, 2019 to Jan 23, 2020
  • Pension RAUM · $6.7M to $7.7M
    Jan 16, 2019 to Jan 23, 2020
  • RAUM · $255M to $269M
    Jan 16, 2019 to Jan 23, 2020
  • Accounts · 853 to 874
    Jan 25, 2018 to Jan 16, 2019
  • Corporate clients · unset to 1.0
    Jan 25, 2018 to Jan 16, 2019
  • HNW clients · 79 to 96
    Jan 25, 2018 to Jan 16, 2019
  • Individual clients · 199 to 271
    Jan 25, 2018 to Jan 16, 2019
  • Pension plan clients · unset to 2.0
    Jan 25, 2018 to Jan 16, 2019
  • Discretionary RAUM · $216M to $205M
    Jan 25, 2018 to Jan 16, 2019
  • HNW RAUM · $196M to $178M
    Jan 25, 2018 to Jan 16, 2019
  • Individual RAUM · $75.8M to $68.8M
    Jan 25, 2018 to Jan 16, 2019
Signals
1 dated events
  • J••• L••••••• N••••• left N••••• S•••••• for N••••••••• A•••• M••••••••• L•• (registered 2023-03-03)
    Mar 7, 2023 · Advisor changed firm · fact
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