DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Fairpointe Capital LLC

Former SEC-registered adviserChicago, IllinoisCRD 156356SEC 801-72160IAPD
Latest filing Mar 30, 2021
First filing on the tape Mar 30, 2012 · 18 filings
RAUM
$53.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
22%
$11.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$20.5M gross assets
History
18 filings and snapshots on the tape
RAUM$53.0M as of Mar 30, 2021
Mar 30, 2012$3.4B then
HNW client RAUM$11.2M as of Mar 30, 2021
Mar 14, 2018$5.7M then
State-registered IARs (5.B.3)3 as of Mar 30, 2021
Mar 21, 20134 then
Employees (5.A)9 as of Mar 30, 2021
Mar 21, 201312 then
Private funds1 as of Mar 30, 2021
Mar 30, 20121 then
RAUM -96% over the last fiscal year-79% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Mar 30, 2021; every figure names its basis
RAUM per advisor
$17.7MderivedRAUM 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
$4.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
14%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-96%derivedbetween the last two annual amendments
Advisor growth, one year
-25%derivedItem 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
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$20.5M39%
  • Other investment advisers$13.5M25%
  • High-net-worth individuals$11.2M21%
  • Charitable organizations$7.5M14%
  • Individuals$278,1710.5%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
0reported
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
Joined, latest
Every departureEvery arrival
Private funds
2 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
1837 Partners L.P.Hedge Fund$20.5M17Mar 28, 2012
Fairpointe Focused Equity LLCno longer reportedPrivate Equity Fund$2.0M7Mar 30, 2012
Owners and control persons
Schedule A and B, latest filing
  • John Robert Lukaszewicz · Chief Financial Officercontrol
    since 02/2011 · owns less than 5%
  • Marie Jeanine Meola · Chief Compliance Officer And Director Of Institutional Salescontrol
    since 11/2020 · owns less than 5%
  • Elizabeth Frances Tuite · Portfolio Managercontrol
    since 10/2017 · owns 5% to 10%
  • Martin Brian Washkowiak · Portfolio Managercontrol
    since 01/2015 · owns 5% to 10%
  • Emmy Thyra Zerhusen · Chief Executive Officer And Chief Investment Officercontrol
    since 12/2010 · owns 50% to 75%
Related persons
Schedule D 7.A
  • Frances Elizabeth Tuite
    pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 9 to 12
    Nov 20, 2020 to Mar 30, 2021
  • Advisory employees · 6 to 4
    Nov 20, 2020 to Mar 30, 2021
  • Advisory activities · 4 to 3
    Nov 20, 2020 to Mar 30, 2021
  • HNW clients · 0.0 to unset
    Nov 20, 2020 to Mar 30, 2021
  • Individual clients · 0.0 to unset
    Nov 20, 2020 to Mar 30, 2021
  • Employees · 15 to 9
    Nov 20, 2020 to Mar 30, 2021
  • State-registered IARs · 4 to 3
    Nov 20, 2020 to Mar 30, 2021
  • Discretionary RAUM · $1.3B to $53.0M
    Nov 20, 2020 to Mar 30, 2021
  • HNW RAUM · $0 to $11.2M
    Nov 20, 2020 to Mar 30, 2021
  • Individual RAUM · $0 to $278,171
    Nov 20, 2020 to Mar 30, 2021
  • Pooled vehicle RAUM · $29.1M to $20.5M
    Nov 20, 2020 to Mar 30, 2021
  • RAUM · $1.3B to $53.0M
    Nov 20, 2020 to Mar 30, 2021
  • Accounts · 15 to 9
    Aug 7, 2019 to Mar 31, 2020
  • Advisory employees · 7 to 6
    Aug 7, 2019 to Mar 31, 2020
  • Pooled vehicle clients · 2 to 1
    Aug 7, 2019 to Mar 31, 2020
  • State-registered IARs · 5 to 4
    Aug 7, 2019 to Mar 31, 2020
  • Discretionary RAUM · $2.9B to $1.3B
    Aug 7, 2019 to Mar 31, 2020
  • Pooled vehicle RAUM · $27.4M to $29.1M
    Aug 7, 2019 to Mar 31, 2020
  • RAUM · $2.9B to $1.3B
    Aug 7, 2019 to Mar 31, 2020
  • Accounts · 16 to 15
    Mar 14, 2018 to Mar 15, 2019
  • HNW clients · unset to 0.0
    Mar 14, 2018 to Mar 15, 2019
  • Discretionary RAUM · $5.4B to $2.9B
    Mar 14, 2018 to Mar 15, 2019
  • HNW RAUM · $5.7M to $0
    Mar 14, 2018 to Mar 15, 2019
  • Pooled vehicle RAUM · $26.9M to $27.4M
    Mar 14, 2018 to Mar 15, 2019
  • RAUM · $5.4B to $2.9B
    Mar 14, 2018 to Mar 15, 2019
  • Accounts · 96 to 16
    May 9, 2017 to Mar 14, 2018
  • Advisory employees · 6 to 7
    May 9, 2017 to Mar 14, 2018
  • Corporate clients · unset to 0.0
    May 9, 2017 to Mar 14, 2018
  • Individual clients · unset to 0.0
    May 9, 2017 to Mar 14, 2018
  • Pension plan clients · unset to 0.0
    May 9, 2017 to Mar 14, 2018
  • Pooled vehicle clients · unset to 2.0
    May 9, 2017 to Mar 14, 2018
  • Employees · 16 to 15
    May 9, 2017 to Mar 14, 2018
  • Other offices · unset to 0.0
    May 9, 2017 to Mar 14, 2018
  • Private funds · unset to 1
    May 9, 2017 to Mar 14, 2018
  • Discretionary RAUM · $5.1B to $5.4B
    May 9, 2017 to Mar 14, 2018
  • HNW RAUM · unset to 5728141.0
    May 9, 2017 to Mar 14, 2018
  • Individual RAUM · unset to 0.0
    May 9, 2017 to Mar 14, 2018
  • Non-discretionary RAUM · $61.4M to $0
    May 9, 2017 to Mar 14, 2018
  • Pension RAUM · unset to 0.0
    May 9, 2017 to Mar 14, 2018
  • Pooled vehicle RAUM · unset to 26917496.0
    May 9, 2017 to Mar 14, 2018
Signals
11 dated events
  • Fairpointe Capital Llc reported RAUM $53.0M, down 96% from $1.3B (2020-11-20 to 2021-03-30)
    Mar 30, 2021 · RAUM change · derived
  • Joy Michelle Katauskas (Chief Compliance Officer) no longer on Schedule A of Fairpointe Capital Llc (listed 2020-11-20, absent 2021-03-30)
    Mar 30, 2021 · Control person left · inference
  • Elizabeth Kirscher (President) no longer on Schedule A of Fairpointe Capital Llc (listed 2020-11-20, absent 2021-03-30)
    Mar 30, 2021 · Control person left · inference
  • Marie Jeanine Meola (Chief Compliance Officer And Director Of Institutional Sales) appeared on Schedule A of Fairpointe Capital Llc
    Mar 30, 2021 · Control person joined · fact
  • Fairpointe Capital Llc reported RAUM $1.3B, down 54% from $2.9B (2019-08-07 to 2020-03-31)
    Mar 31, 2020 · RAUM change · derived
  • Louise Marie Lorden (Portfolio Manager) no longer on Schedule A of Fairpointe Capital Llc (listed 2019-08-07, absent 2020-03-31)
    Mar 31, 2020 · Control person left · inference
  • Louise Mary Pierson (Co-Chief Executive Officer) no longer on Schedule A of Fairpointe Capital Llc (listed 2019-08-07, absent 2020-03-31)
    Mar 31, 2020 · Control person left · inference
  • Elizabeth Kirscher (President) appeared on Schedule A of Fairpointe Capital Llc
    Mar 31, 2020 · Control person joined · fact
  • Elizabeth Frances Tuite (Portfolio Manager) appeared on Schedule A of Fairpointe Capital Llc
    Mar 31, 2020 · Control person joined · fact
  • Martin Brian Washkowiak (Portfolio Manager) appeared on Schedule A of Fairpointe Capital Llc
    Mar 31, 2020 · Control person joined · fact
  • Fairpointe Capital Llc reported RAUM $2.9B, down 46% from $5.4B (2018-03-14 to 2019-03-15)
    Mar 15, 2019 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
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