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Former SEC-registered adviser

2••• X•••• G••••

Former SEC-registered adviserChicago, IllinoisCRD 151409SEC 801-71499IAPD
Legal name 2••• X•••• G•••• L••
Latest filing Mar 26, 2014
First filing on the tape Mar 26, 2012 · 3 filings
RAUM
$221M
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
11
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$10.2M gross assets
History
3 filings and snapshots on the tape
RAUM$221M as of Mar 26, 2014
Mar 26, 2012$202M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2014
Jan 17, 20130 then
Employees (5.A)11 as of Mar 26, 2014
Jan 17, 201312 then
Private funds1 as of Mar 26, 2014
Mar 26, 20121 then
RAUM +4.2% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 2014; 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
$13.8MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+4.2%derivedbetween 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 vehicles, portfolio management for investment companiesreportedItem 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
  • 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)
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
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
16reported
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
      • B•••••• J••••••• P•••• · Member, Director Of Researchcontrol
        since 08/2010 · owns less than 5%
      • F••••••••• J••• R••••• · Member, Chief Executive Officer, Chief Investment Officer, Member Board Of Managerscontrol
        since 07/2007 · owns less than 5%
      • L••••• M••••••• D••••• · Member, Chief Compliance Officer/Chief Operating Officercontrol
        since 08/2008 · owns less than 5%
      • B•••••• J••••••• P•••• · Membercontrol
        since 12/2012 · owns 25% to 50% of S•••• H•••• L••
      • F••••••••• J••• R••••• · Membercontrol
        since 12/2012 · owns 50% to 75% of S•••• H•••• L••
      • C•••••••• D•••• · Member, Director Of Information Technology
        since 03/2006 · owns less than 5%
      Entity owners
      • S•••• H•••• L•• · Member
        direct · owns 75% or more
      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 · 25 to 16
        Jan 17, 2013 to Mar 26, 2014
      • Advisory employees · 5 to 6
        Jan 17, 2013 to Mar 26, 2014
      • Employees · 12 to 11
        Jan 17, 2013 to Mar 26, 2014
      • Discretionary RAUM · $212M to $221M
        Jan 17, 2013 to Mar 26, 2014
      • RAUM · $212M to $221M
        Jan 17, 2013 to Mar 26, 2014
      • Employees · unset to 12.0
        Mar 26, 2012 to Jan 17, 2013
      • Accounts · 24 to 25
        Mar 26, 2012 to Jan 17, 2013
      • Advisory employees · unset to 5.0
        Mar 26, 2012 to Jan 17, 2013
      • State-registered IARs · unset to 0.0
        Mar 26, 2012 to Jan 17, 2013
      • Discretionary RAUM · $202M to $212M
        Mar 26, 2012 to Jan 17, 2013
      • RAUM · $202M to $212M
        Mar 26, 2012 to Jan 17, 2013
      • Related adviser · true to false
        Mar 26, 2012 to Jan 17, 2013
      • Related broker-dealer · true to false
        Mar 26, 2012 to Jan 17, 2013
      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