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Former SEC-registered adviser

S•••••••• W••••• P•••••••• L••

Former SEC-registered adviserDeerfield, IllinoisCRD 147168SEC 801-69149IAPD
Latest filing Jul 10, 2014
First filing on the tape Mar 28, 2012 · 9 filings
RAUM
$1.3B
reported, Item 5.F
Discretionary
83%
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
15
9 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$1.3B as of Mar 12, 2014
Mar 28, 2012$751M then
HNW client RAUM: no history
State-registered IARs (5.B.3)10 as of Mar 12, 2014
Mar 27, 20135 then
Employees (5.A)15 as of Mar 12, 2014
Mar 27, 201311 then
Private funds: no history
RAUM +27% over the last fiscal yearIARs 5 to 10
Practice profile
derived from the filing of Jul 10, 2014; every figure names its basis
RAUM per advisor
$126MderivedRAUM 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
$436,244derivedRAUM over accounts (5.F.2.f)
Discretionary
83%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
10.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+27%derivedbetween the last two annual amendments
Advisor growth, one year
+100%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Custody
$6.3M, 30 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
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
2,886reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$6.3M for 30 clientsreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • C•••••••• D••••• J•••• · Membercontrol
      since 05/2008 · owns 50% to 75%
    • P••••• N•••• H••••• · Membercontrol
      since 05/2008 · owns 50% to 75%
    • F••••••••• M••••• E•••• · Chief Solutions Officer/Chief Compliance Officer
      since 01/2010 · owns less than 5%
    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 · 1,609 to 2,886
      Nov 19, 2013 to Mar 12, 2014
    • Advisory employees · 6 to 9
      Nov 19, 2013 to Mar 12, 2014
    • Assets in custody · unset to 6340000.0
      Nov 19, 2013 to Mar 12, 2014
    • Custody of client assets · false to true
      Nov 19, 2013 to Mar 12, 2014
    • Employees · 11 to 15
      Nov 19, 2013 to Mar 12, 2014
    • State-registered IARs · 5 to 10
      Nov 19, 2013 to Mar 12, 2014
    • Discretionary RAUM · $754M to $1.0B
      Nov 19, 2013 to Mar 12, 2014
    • Non-discretionary RAUM · $235M to $214M
      Nov 19, 2013 to Mar 12, 2014
    • RAUM · $989M to $1.3B
      Nov 19, 2013 to Mar 12, 2014
    • Accounts · 1,612 to 1,609
      Dec 17, 2012 to Mar 27, 2013
    • Advisory employees · 5 to 6
      Dec 17, 2012 to Mar 27, 2013
    • Employees · 9 to 11
      Dec 17, 2012 to Mar 27, 2013
    • State-registered IARs · 4 to 5
      Dec 17, 2012 to Mar 27, 2013
    • Discretionary RAUM · $449M to $754M
      Dec 17, 2012 to Mar 27, 2013
    • Non-discretionary RAUM · $302M to $235M
      Dec 17, 2012 to Mar 27, 2013
    • RAUM · $751M to $989M
      Dec 17, 2012 to Mar 27, 2013
    • Advisory employees · unset to 5.0
      Oct 18, 2012 to Dec 17, 2012
    • BD registered reps · unset to 1.0
      Oct 18, 2012 to Dec 17, 2012
    • Employees · unset to 9.0
      Oct 18, 2012 to Dec 17, 2012
    • State-registered IARs · unset to 4.0
      Oct 18, 2012 to Dec 17, 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