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.

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Former SEC-registered adviser

W••••• S•••• • P••••••• M••••••••• I••• L•••••

Former SEC-registered adviserChicago, IllinoisCRD 160637SEC 801-73442IAPD
Latest filing Mar 30, 2018
First filing on the tape Feb 13, 2012 · 8 filings
RAUM
$124M
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
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
$124M gross assets
History
8 filings and snapshots on the tape
RAUM$124M as of Mar 30, 2018
Apr 1, 2013$339M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2018
Apr 1, 20130 then
Employees (5.A)2 as of Mar 30, 2018
Apr 1, 20135 then
Private funds4 as of Mar 30, 2018
Apr 1, 20138 then
RAUM -65% over the last fiscal year-33% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2018; 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
$31.0MderivedRAUM 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
-65%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 pooled vehiclesreportedItem 5.G
Custody
$124M, 4 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • 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
  • Pooled investment vehicles$124M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$124M for 4 clientsreported
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
      8 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      W••••• S•••• • P••••••• I•• S••• L•••no longer reportedPrivate Equity Fund$40.1M122Apr 1, 2013
      W••••• S•••• • P••••••• I••• L•••Private Equity Fund$22.1M26Feb 13, 2012
      W••••• S•••• • P••••••• D•••• I•••• S••• L•••no longer reportedPrivate Equity Fund$1.2M2Apr 1, 2013
      W••••• S•••• • P••••••• D•••• I•••• S••• L•••no longer reportedPrivate Equity Fund$1.2M2Apr 1, 2013
      W••••• S•••• • P••••••• D•••• I••••• L•••Private Equity Fund$737,3986Feb 13, 2012
      W••••• S•••• • P••••••• D•••• I••••• L•••Private Equity Fund$737,3986Feb 13, 2012
      W••••• S•••• • P••••••• I•••• S••• L•••no longer reportedPrivate Equity Fund$340,59711Apr 1, 2013
      W••••• S•••• • P••••••• I••••• L•••Private Equity Fund$318,52010Feb 13, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • S••••• A••• H••••• · Managing Membercontrol
        since 03/2000 · owns 75% or more
      • M••••• D••••• T••••• · Chief Financial Officer And Chief Compliance Officer
        since 09/2007 · owns less than 5%
      Related persons
      Schedule D 7.A
      • W••••• S•••• • P••••••• M••••••••• I••• L•••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 5 to 2
        Mar 30, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 4.0
        Mar 30, 2017 to Mar 30, 2018
      • Assets in custody · $355M to $124M
        Mar 30, 2017 to Mar 30, 2018
      • Employees · 5 to 2
        Mar 30, 2017 to Mar 30, 2018
      • HQ city · NORTHBROOK to CHICAGO
        Mar 30, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Mar 30, 2017 to Mar 30, 2018
      • Discretionary RAUM · $355M to $124M
        Mar 30, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 123811684.0
        Mar 30, 2017 to Mar 30, 2018
      • RAUM · $355M to $124M
        Mar 30, 2017 to Mar 30, 2018
      • Accounts · 8 to 4
        Mar 30, 2016 to Mar 30, 2017
      • Assets in custody · $409M to $355M
        Mar 30, 2016 to Mar 30, 2017
      • Private funds · 8 to 4
        Mar 30, 2016 to Mar 30, 2017
      • Discretionary RAUM · $409M to $355M
        Mar 30, 2016 to Mar 30, 2017
      • RAUM · $409M to $355M
        Mar 30, 2016 to Mar 30, 2017
      • Assets in custody · $433M to $409M
        Mar 28, 2014 to Mar 27, 2015
      • Employees · 6 to 5
        Mar 28, 2014 to Mar 27, 2015
      • Discretionary RAUM · $433M to $409M
        Mar 28, 2014 to Mar 27, 2015
      • RAUM · $433M to $409M
        Mar 28, 2014 to Mar 27, 2015
      • Assets in custody · $339M to $433M
        Sep 18, 2013 to Mar 28, 2014
      • Employees · 5 to 6
        Sep 18, 2013 to Mar 28, 2014
      • Discretionary RAUM · $339M to $433M
        Sep 18, 2013 to Mar 28, 2014
      • RAUM · $339M to $433M
        Sep 18, 2013 to Mar 28, 2014
      • Accounts · 4 to 8
        Feb 13, 2012 to Apr 1, 2013
      • Advisory employees · unset to 5.0
        Feb 13, 2012 to Apr 1, 2013
      • BD registered reps · unset to 0.0
        Feb 13, 2012 to Apr 1, 2013
      • Assets in custody · $698M to $339M
        Feb 13, 2012 to Apr 1, 2013
      • Employees · unset to 5.0
        Feb 13, 2012 to Apr 1, 2013
      • HQ city · CHICAGO to NORTHBROOK
        Feb 13, 2012 to Apr 1, 2013
      • State-registered IARs · unset to 0.0
        Feb 13, 2012 to Apr 1, 2013
      • Private funds · 4 to 8
        Feb 13, 2012 to Apr 1, 2013
      • Discretionary RAUM · $698M to $339M
        Feb 13, 2012 to Apr 1, 2013
      • RAUM · $698M to $339M
        Feb 13, 2012 to Apr 1, 2013
      Signals
      1 dated events
      • W••••• S•••• • P••••••• M••••••••• I••• L••••• reported RAUM $123.8M, down 65% from $355.0M (2017-03-30 to 2018-03-30)
        Mar 30, 2018 · 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