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L•• F•••• M••••••••• L•••

Former SEC-registered adviserFormer SEC adviser· Chicago, Illinois

Former SEC-registered adviser, based in Chicago, Illinois, reporting $383M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$383M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
+164%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 164799 · SEC 801-76983 · 7 filingsShow
CRD 164799SEC 801-76983First filing on the tape Jul 26, 2012, latest Mar 17, 2017IAPD
RAUM
$383M
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
18
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$383M as of Mar 17, 2017
Mar 28, 2013$31.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 17, 2017
Mar 28, 20130 then
Employees (5.A)18 as of Mar 17, 2017
Mar 28, 201310 then
Private funds: no history
RAUM +164% over the last fiscal year+86% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 17, 2017; 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
$383MderivedRAUM 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
+164%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 assetsreportedItem 5.E
Advisory activities
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)
  • 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
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      • A••••••••• A••••• · Chief Risk Officercontrol
        since 06/2012 · owns less than 5%
      • C••••• A•••••• · Founder & Chairmancontrol
        since 06/2012 · owns 75% or more
      • K••••••• J••••••• W•••• · Directorcontrol
        since 06/2012 · owns less than 5%
      • M••••••• K•••••• · Vice President & Chief Compliance Officercontrol
        since 01/2016 · owns less than 5%
      • P••••••••• A•••• · Director Of Tradingcontrol
        since 06/2012 · owns less than 5%
      • S•••••• L•••••• C•••••••• · Managing Directorcontrol
        since 04/2016 · owns less than 5%
      Related persons
      Schedule D 7.A
      • L•• P•••••••• L•••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 2 to 1
        Mar 24, 2016 to Mar 17, 2017
      • Advisory activities · 2 to 1
        Mar 24, 2016 to Mar 17, 2017
      • Employees · 16 to 18
        Mar 24, 2016 to Mar 17, 2017
      • Discretionary RAUM · $145M to $383M
        Mar 24, 2016 to Mar 17, 2017
      • RAUM · $145M to $383M
        Mar 24, 2016 to Mar 17, 2017
      • Accounts · 1 to 2
        Jan 7, 2016 to Mar 24, 2016
      • Advisory employees · 6 to 5
        Jan 7, 2016 to Mar 24, 2016
      • Advisory activities · 1 to 2
        Jan 7, 2016 to Mar 24, 2016
      • BD registered reps · 6 to 9
        Jan 7, 2016 to Mar 24, 2016
      • Employees · 13 to 16
        Jan 7, 2016 to Mar 24, 2016
      • State-registered IARs · 6 to 0
        Jan 7, 2016 to Mar 24, 2016
      • Discretionary RAUM · $102M to $145M
        Jan 7, 2016 to Mar 24, 2016
      • RAUM · $102M to $145M
        Jan 7, 2016 to Mar 24, 2016
      • Advisory employees · 9 to 6
        Mar 25, 2014 to Mar 24, 2015
      • Discretionary RAUM · $59.6M to $102M
        Mar 25, 2014 to Mar 24, 2015
      • RAUM · $59.6M to $102M
        Mar 25, 2014 to Mar 24, 2015
      • Advisory employees · 5 to 9
        Mar 28, 2013 to Mar 25, 2014
      • BD registered reps · 3 to 6
        Mar 28, 2013 to Mar 25, 2014
      • Employees · 10 to 13
        Mar 28, 2013 to Mar 25, 2014
      • State-registered IARs · 0 to 6
        Mar 28, 2013 to Mar 25, 2014
      • Discretionary RAUM · $31.3M to $59.6M
        Mar 28, 2013 to Mar 25, 2014
      • RAUM · $31.3M to $59.6M
        Mar 28, 2013 to Mar 25, 2014
      • Accounts · 0 to 1
        Jul 26, 2012 to Mar 28, 2013
      • Advisory employees · unset to 5.0
        Jul 26, 2012 to Mar 28, 2013
      • BD registered reps · unset to 3.0
        Jul 26, 2012 to Mar 28, 2013
      • Employees · unset to 10.0
        Jul 26, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Jul 26, 2012 to Mar 28, 2013
      • Discretionary RAUM · $0 to $31.3M
        Jul 26, 2012 to Mar 28, 2013
      • RAUM · $0 to $31.3M
        Jul 26, 2012 to Mar 28, 2013
      Signals
      1 dated events
      • ••• Locked
        Jul 26, 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.
      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