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Former SEC-registered adviser

S••••• P•••••••• L•••

Former SEC-registered adviserChicago, IllinoisCRD 160899SEC 801-74349IAPD
Latest filing Mar 18, 2024
First filing on the tape Feb 17, 2012 · 20 filings
RAUM
$257M
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
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$257M gross assets
History
20 filings and snapshots on the tape
RAUM$257M as of Mar 18, 2024
Mar 28, 2013$199M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 18, 2024
Mar 28, 20130 then
Employees (5.A)6 as of Mar 18, 2024
Mar 28, 20136 then
Private funds1 as of Mar 18, 2024
Mar 28, 20131 then
RAUM -7.1% over the last fiscal year-4.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 18, 2024; 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
$128MderivedRAUM 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
-7.1%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
$257M, 2 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)
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$257M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$257M for 2 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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P•••••• P••••••• L•Hedge Fund$257M24Feb 17, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • J••••• M••••••• J•• · Portfolio Managercontrol
        since 03/2023 · owns less than 5%
      • L••••••• L•••• A•• · Chief Compliance Officercontrol
        since 01/2012 · owns less than 5%
      • W•••• L••• M•••••• · Portfolio Managercontrol
        since 03/2023 · owns less than 5%
      • F••••••• P••••• B••• · Directorcontrol
        since 01/2012 · owns F of S••••• C•••••••••
      • F••••••• P••••• B••• · Trusteecontrol
        since 01/2012 · owns F of P•••• B• F••••••• V••••••• O• F•••••• A•• C••••••••• E• F•••••• G••••••••• T•••• U•••• A•••••• V•
      • F••••••• P••••• B••• · Trusteecontrol
        since 01/2012 · owns F of P•••• B• F••••••• V••••••• O• F•••••• A•• J•••••• J• F•••••• G••••••••• T•••• U•••• A•••••• V•
      • F••••••• V•••••••• L•• · Trusteecontrol
        since 12/2012 · owns F of T•• P•••• B• F•••••• 2••• F••••• T••••
      • T••••• F••••••• E•••••••• · Trusteecontrol
        since 03/2022 · owns F of T•• P•••• B• F•••••• 2••• F••••• T••••
      • T••••• F••••••• E•••••••• · Trusteecontrol
        since 09/2021 · owns F of P•••• B• F••••••• V••••••• O• F•••••• A•• J•••••• J• F•••••• G••••••••• T•••• U•••• A•••••• V•
      • T••••• F••••••• E•••••••• · Trusteecontrol
        since 09/2021 · owns F of P•••• B• F••••••• V••••••• O• F•••••• A•• C••••••••• E• F•••••• G••••••••• T•••• U•••• A•••••• V•
      Entity owners
      • P•••• B• F••••••• V••••••• O• F•••••• A•• C••••••••• E• F•••••• G••••••••• T•••• U•••• A•••••• V• · Limited Partner
        direct · owns 25% to 50%
      • P•••• B• F••••••• V••••••• O• F•••••• A•• J•••••• J• F•••••• G••••••••• T•••• U•••• A•••••• V• · Limited Partner
        direct · owns 25% to 50%
      • S••••• C••••••••• · General Partner
        direct · owns 25% to 50%
      • T•• P•••• B• F•••••• 2••• F••••• T•••• · Shareholder
        indirect · owns 75% or more of S••••• C•••••••••
      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
      • Assets in custody · $277M to $257M
        Mar 21, 2023 to Mar 18, 2024
      • Discretionary RAUM · $277M to $257M
        Mar 21, 2023 to Mar 18, 2024
      • Pooled vehicle RAUM · $277M to $257M
        Mar 21, 2023 to Mar 18, 2024
      • RAUM · $277M to $257M
        Mar 21, 2023 to Mar 18, 2024
      • Assets in custody · $320M to $277M
        Mar 29, 2022 to Feb 22, 2023
      • Discretionary RAUM · $320M to $277M
        Mar 29, 2022 to Feb 22, 2023
      • Pooled vehicle RAUM · $320M to $277M
        Mar 29, 2022 to Feb 22, 2023
      • RAUM · $320M to $277M
        Mar 29, 2022 to Feb 22, 2023
      • Assets in custody · $298M to $320M
        Mar 29, 2021 to Mar 29, 2022
      • Discretionary RAUM · $298M to $320M
        Mar 29, 2021 to Mar 29, 2022
      • Pooled vehicle RAUM · $298M to $320M
        Mar 29, 2021 to Mar 29, 2022
      • RAUM · $298M to $320M
        Mar 29, 2021 to Mar 29, 2022
      • Assets in custody · $266M to $298M
        Mar 25, 2020 to Mar 29, 2021
      • Discretionary RAUM · $266M to $298M
        Mar 25, 2020 to Mar 29, 2021
      • Pooled vehicle RAUM · $266M to $298M
        Mar 25, 2020 to Mar 29, 2021
      • RAUM · $266M to $298M
        Mar 25, 2020 to Mar 29, 2021
      • Assets in custody · $234M to $266M
        Mar 20, 2019 to Mar 25, 2020
      • Discretionary RAUM · $234M to $266M
        Mar 20, 2019 to Mar 25, 2020
      • Pooled vehicle RAUM · $234M to $266M
        Mar 20, 2019 to Mar 25, 2020
      • RAUM · $234M to $266M
        Mar 20, 2019 to Mar 25, 2020
      • Assets in custody · $238M to $234M
        Mar 21, 2018 to Mar 20, 2019
      • Discretionary RAUM · $238M to $234M
        Mar 21, 2018 to Mar 20, 2019
      • Pooled vehicle RAUM · $238M to $234M
        Mar 21, 2018 to Mar 20, 2019
      • RAUM · $238M to $234M
        Mar 21, 2018 to Mar 20, 2019
      • Pooled vehicle clients · unset to 2.0
        Aug 2, 2017 to Mar 21, 2018
      • Assets in custody · $222M to $238M
        Aug 2, 2017 to Mar 21, 2018
      • Financial planning clients · unset to 0
        Aug 2, 2017 to Mar 21, 2018
      • Other offices · unset to 0.0
        Aug 2, 2017 to Mar 21, 2018
      • Discretionary RAUM · $222M to $238M
        Aug 2, 2017 to Mar 21, 2018
      • Pooled vehicle RAUM · unset to 237637166.0
        Aug 2, 2017 to Mar 21, 2018
      • RAUM · $222M to $238M
        Aug 2, 2017 to Mar 21, 2018
      • Related adviser · true to false
        Aug 2, 2017 to Mar 21, 2018
      • Assets in custody · $217M to $222M
        Jan 3, 2017 to Mar 30, 2017
      • Discretionary RAUM · $217M to $222M
        Jan 3, 2017 to Mar 30, 2017
      • RAUM · $217M to $222M
        Jan 3, 2017 to Mar 30, 2017
      • Assets in custody · $233M to $217M
        Mar 27, 2015 to Mar 29, 2016
      • Discretionary RAUM · $233M to $217M
        Mar 27, 2015 to Mar 29, 2016
      • RAUM · $233M to $217M
        Mar 27, 2015 to Mar 29, 2016
      • Advisory employees · 2 to 3
        Nov 10, 2014 to Mar 27, 2015
      • Assets in custody · $233M to $233M
        Nov 10, 2014 to Mar 27, 2015
      Signals
      5 dated events
      • Michael Lee Wolf (Portfolio Manager) appeared on Schedule A of S••••• P•••••••• L•••
        Mar 21, 2023 · Control person joined · fact
      • Jay Michael Jawor (Portfolio Manager) appeared on Schedule A of S••••• P•••••••• L•••
        Mar 21, 2023 · Control person joined · fact
      • Lewis Bradford Beatty (Chief Investment Officer) no longer on Schedule A of S••••• P•••••••• L••• (listed 2023-02-22, absent 2023-03-21)
        Mar 21, 2023 · Control person left · inference
      • Elizabeth Frances Tuite (Trustee) appeared on Schedule A of S••••• P•••••••• L•••
        Feb 22, 2023 · Control person joined · fact
      • Louise Rhonda Keysor (Trustee) no longer on Schedule A of S••••• P•••••••• L••• (listed 2022-03-29, absent 2023-02-22)
        Feb 22, 2023 · Control person left · inference
      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