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C••• A••••••• L••

Former SEC-registered adviserFormer SEC adviser· Chicago, Illinois

Former SEC-registered adviser, based in Chicago, Illinois.

Composed from this adviser's Form ADV classification, location and filed figures.

See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 149231 · SEC 801-69880 · 9 filingsShow
CRD 149231SEC 801-69880First filing on the tape Mar 30, 2012, latest Mar 28, 2017IAPD
RAUM
Not disclosed
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
2
2 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

Filed figures over time · the tape starts Mar 30, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$28.8M as of Feb 8, 2016
Mar 30, 2012$335M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2017
Mar 30, 20120 then
Employees (5.A)2 as of Mar 28, 2017
Apr 1, 20133 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2017; every figure names its basis
The rule behind each archetype, and every derived figureShow
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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
subscription, otherreportedItem 5.E
Advisory activities
publications, otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing

No Item 5.D breakdown on this filing.

The breakdown by client type, and the client countsShow
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
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
Class basis
absent from the latest SEC rosterderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C•••• D•••••• G••••• M•••••• · Managing Partnercontrol
        since 12/2009 · owns 75% or more
      • T••••••• A•••••• M••••••• · Chief Compliance Officercontrol
        since 06/2015 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • ,
      What changed
      consecutive filings, newest first
      • Accounts · 2.0 to unset
        Feb 8, 2016 to Mar 28, 2017
      • Advisory activities · 3 to 2
        Feb 8, 2016 to Mar 28, 2017
      • Financial planning clients · unset to 0
        Feb 8, 2016 to Mar 28, 2017
      • Discretionary RAUM · 0.0 to unset
        Feb 8, 2016 to Mar 28, 2017
      • Non-discretionary RAUM · 28826700.0 to unset
        Feb 8, 2016 to Mar 28, 2017
      Full history · 33 changes
      • RAUM · 28826700.0 to unset
        Feb 8, 2016 to Mar 28, 2017
      • Non-discretionary RAUM · $49.4M to $28.8M
        Jan 14, 2016 to Feb 8, 2016
      • RAUM · $49.4M to $28.8M
        Jan 14, 2016 to Feb 8, 2016
      • Accounts · 5 to 2
        Mar 31, 2015 to Jul 29, 2015
      • Advisory employees · 3 to 2
        Mar 31, 2015 to Jul 29, 2015
      • Employees · 3 to 2
        Mar 31, 2015 to Jul 29, 2015
      • Discretionary RAUM · $91.4M to $0
        Mar 31, 2015 to Jul 29, 2015
      • Non-discretionary RAUM · $0 to $49.4M
        Mar 31, 2015 to Jul 29, 2015
      • RAUM · $91.4M to $49.4M
        Mar 31, 2015 to Jul 29, 2015
      • Accounts · 9 to 5
        Jul 22, 2014 to Mar 31, 2015
      • Discretionary RAUM · $0 to $91.4M
        Jul 22, 2014 to Mar 31, 2015
      • Non-discretionary RAUM · $214M to $0
        Jul 22, 2014 to Mar 31, 2015
      • RAUM · $214M to $91.4M
        Jul 22, 2014 to Mar 31, 2015
      • Succession · true to false
        Jul 22, 2014 to Mar 31, 2015
      • Business name · C••• A••••••• L•• to C••• A••••••• L••
        Mar 27, 2014 to Jul 22, 2014
      • Legal name · C••• A••••••• L•• to C••• A••••••• L••
        Mar 27, 2014 to Jul 22, 2014
      • Succession · false to true
        Mar 27, 2014 to Jul 22, 2014
      • Accounts · 14 to 9
        Apr 1, 2013 to Mar 27, 2014
      • Advisory employees · 2 to 3
        Apr 1, 2013 to Mar 27, 2014
      • Organization form · Limited Liability Partnership to Limited Liability Company
        Apr 1, 2013 to Mar 27, 2014
      • Non-discretionary RAUM · $331M to $214M
        Apr 1, 2013 to Mar 27, 2014
      • RAUM · $331M to $214M
        Apr 1, 2013 to Mar 27, 2014
      • Advisory employees · unset to 2.0
        Mar 30, 2012 to Apr 1, 2013
      • Advisory activities · 4 to 3
        Mar 30, 2012 to Apr 1, 2013
      • Employees · unset to 3.0
        Mar 30, 2012 to Apr 1, 2013
      • Non-discretionary RAUM · $335M to $331M
        Mar 30, 2012 to Apr 1, 2013
      • RAUM · $335M to $331M
        Mar 30, 2012 to Apr 1, 2013
      • Accounts · 16 to 14
        Mar 30, 2012 to Apr 1, 2013
      Signals
      1 dated events
      • ••• Locked
        Jul 22, 2014 · Succession (Item 4) · 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
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026

      Not yet on record: private clients.