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Former SEC-registered adviser

S••••• A•••• M••••••••• L••

Former SEC-registered adviserRosemont, IllinoisCRD 144792SEC 801-68260IAPD
Latest filing Aug 31, 2012
First filing on the tape Nov 18, 2011 · 3 filings
RAUM
$117M
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
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$117M as of Aug 31, 2012
Nov 18, 2011$557M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 31, 2012
Nov 18, 20110 then
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 31, 2012; 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
$9.7MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Ownership
a PE fund or sponsor is a 25 percent or greater owner 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
12reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • G•••••• S••••• E••••• · Chief Operating Officercontrol
        since 09/2007 · owns less than 5%
      • W••••••••• N•••• A•••• · Chief Compliance Officer / Ceocontrol
        since 09/2007 · owns less than 5%
      • B•••••••• C••••••• B• · Managercontrol
        since 05/2000 · owns F of R••••••• I••••••••• P•••••••• L••
      • W••••••••• N•••• A•••• · Management Committeecontrol
        since 09/2007 · owns F of S•• P••••••• L••
      Entity owners
      • R••••••• P••••••• I•• L• · Member
        direct · owns 25% to 50%
      • S•• P••••••• L•• · Member
        direct · owns 50% to 75%
      • R••••••• I••••••••• P••••••• I•• L•• · Gp
        indirect · owns F of R••••••• P••••••• I•• L•
      • R••••••• I••••••••• P•••••••• L•• · Manager
        indirect · owns F of R••••••• I••••••••• P••••••• I•• L••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Bellevue, WA
      What changed
      consecutive filings, newest first
      • Accounts · 34 to 12
        Mar 30, 2012 to Aug 31, 2012
      • Discretionary RAUM · $531M to $117M
        Mar 30, 2012 to Aug 31, 2012
      • RAUM · $531M to $117M
        Mar 30, 2012 to Aug 31, 2012
      • Accounts · 33 to 34
        Nov 18, 2011 to Mar 30, 2012
      • Advisory activities · 2 to 3
        Nov 18, 2011 to Mar 30, 2012
      • Insurance-licensed employees · unset to 0.0
        Nov 18, 2011 to Mar 30, 2012
      • Discretionary RAUM · $557M to $531M
        Nov 18, 2011 to Mar 30, 2012
      • RAUM · $557M to $531M
        Nov 18, 2011 to Mar 30, 2012
      • Related adviser · false to true
        Nov 18, 2011 to Mar 30, 2012
      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