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RIA Intelligence

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Former SEC-registered adviser

A••••• A•••••• S•••••••• L••

Former SEC-registered adviserDes Plaines, IllinoisCRD 150960SEC 801-77522website IAPD

Latest filing Apr 16, 2015

First filing on the tape Dec 21, 2012 · 16 filings

RAUM

$45.5M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$15.2M

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

n/a

beyond the principal office

Private funds

reported on Schedule D

History

16 filings and snapshots on the tape

RAUM$45.5M as of Mar 16, 2015

Mar 27, 2014$47.0M then

HNW client RAUM: no history

State-registered IARs (5.B.3)4 as of Mar 16, 2015

Mar 27, 20144 then

Employees (5.A)5 as of Mar 16, 2015

Mar 27, 20145 then

Private funds: no history

RAUM -3.2% over the last fiscal yearIARs 4 to 4

Practice profile

derived from the filing of Apr 16, 2015; every figure names its basis

RAUM per advisor: $15.2MderivedRAUM 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: $89,738derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.7derivedItem 5.A over advisors
Advisors per office: 3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: -3.2%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%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 individualsreportedItem 5.G
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

is an insurance broker or agent (6.A.6)
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)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.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: 507reported
Financial planning clients: 11-25reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: absent from the latest SEC rosterderived

Advisors registered through the firm

3 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
B•••• C••••••••• B••••••	Lombard, Il	Jan 11, 2013	31 y	2
T••••• J• S••••••	Lombard, Il	Jan 14, 2013	15 y	2
D••••• M••• A••••••Certified Financial Planner	Lombard, Il	Feb 19, 2014	25 y	3

Advisor movement

0 left, 0 joined in 12 months

net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months

Left, latest

none on the tape

Joined, latest

D••••• M••• A•••••• from L•• F•••••••• L••
Jan 23, 2013 · Other
T••••• J• S•••••• from L•• F•••••••• L••
Jan 14, 2013 · Other
B•••• C••••••••• B•••••• from L•• F•••••••• L••
Jan 11, 2013 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

B••••••• B••••• C••••••••• · Managing Member & Chief Compliance Officercontrol
since 04/1999 · owns 10% to 25%
S•••••••• S•••••• R•••••• · Managing Membercontrol
since 01/2004 · owns 50% to 75%
A••••••• D•••••• M••• · Managing Member
since 08/2012 · owns 10% to 25%
S••••••• D•••••• K•••• · Member
since 10/2013 · owns less than 5%
S••••••• T•••••• J• · Managing Member
since 08/2010 · owns less than 5%
W•••••••• J••••••• R••••• · Member
since 11/2013 · owns less than 5%

Related persons

Schedule D 7.A

No related person reported.

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Lombard, Il	3	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 501 to 507
Mar 27, 2014 to Mar 16, 2015
Discretionary RAUM · $47.0M to $45.5M
Mar 27, 2014 to Mar 16, 2015
RAUM · $47.0M to $45.5M
Mar 27, 2014 to Mar 16, 2015
Accounts · 0 to 501
Nov 6, 2013 to Mar 27, 2014
Employees · 4 to 5
Nov 6, 2013 to Mar 27, 2014
Financial planning clients · 0 to 11-25
Nov 6, 2013 to Mar 27, 2014
Discretionary RAUM · $0 to $47.0M
Nov 6, 2013 to Mar 27, 2014
RAUM · $0 to $47.0M
Nov 6, 2013 to Mar 27, 2014
Advisory activities · 4 to 2
Jul 26, 2013 to Aug 22, 2013
HQ city · BARRINGON to DES PLAINES
May 6, 2013 to Jul 23, 2013
Business name · A••••• W••••• M••••••••• L•• to A••••• A•••••• S•••••••• L••
Jan 14, 2013 to May 6, 2013
Legal name · A••••• W••••• M••••••••• L•• to A••••• A•••••• S•••••••• L••
Jan 14, 2013 to May 6, 2013
Advisory employees · 6 to 4
May 6, 2013 to May 6, 2013
BD registered reps · 6 to 4
May 6, 2013 to May 6, 2013
Employees · 6 to 4
May 6, 2013 to May 6, 2013
State-registered IARs · 6 to 4
May 6, 2013 to May 6, 2013
HQ city · DES PLAINES to BARRINGON
May 6, 2013 to May 6, 2013
Business name · A••••• I••••••••• G•••• L•• to A••••• W••••• M••••••••• L••
Dec 21, 2012 to Jan 11, 2013
Legal name · A••••• I••••••••• G•••• L•• to A••••• W••••• M••••••••• L••
Dec 21, 2012 to Jan 11, 2013

Signals

1 dated events

A••••• I••••••••• G•••• L•• filed its initial SEC registration (Form ADV)
Dec 21, 2012 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

How to reach

public business contact points only, each with its source

Website: w••.a•••••.comreportedpublic record, Form ADV, Sep 21, 2026

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: $15.2Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026