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Former SEC-registered adviser

C•• A•••• M••••••••• L••••••

Former SEC-registered adviserChicago, IllinoisCRD 165161SEC 801-77737IAPD
Latest filing Mar 27, 2013
First filing on the tape Mar 5, 2013 · 2 filings
RAUM
$817M
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
20
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$2.1M gross assets
History
2 filings and snapshots on the tape
RAUM$817M as of Mar 27, 2013
Mar 5, 2013$817M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2013
Mar 5, 20130 then
Employees (5.A)20 as of Mar 27, 2013
Mar 5, 201320 then
Private funds2 as of Mar 27, 2013
Mar 5, 20132 then
Practice profile
derived from the filing of Mar 27, 2013; 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
$58.3MderivedRAUM 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
unknownderivedbetween 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
$2.1M, 3 clientsreportedItem 9.A
Ownership
controlled by a public reporting companyderived
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • controlled by a public reporting company (10.A)
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
14reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$2.1M for 3 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•• I••• U• M••••• N•••••• F••• L••Hedge Fund$2.1M1Mar 5, 2013
      C•• I••• U• M••••• N•••••• F••• L••••••Hedge Fund$00Mar 5, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • C••••• S••••• A•••• · Directorcontrol
        since 11/2003 · owns less than 5%
      • F•••••• C••• · Cfocontrol
        since 10/2011 · owns less than 5%
      • F••••• H••••• A••• · Manager Of Investor Relationscontrol
        since 08/2007 · owns less than 5%
      • L••••••• J••••••• · Directorcontrol
        since 11/2003 · owns less than 5%
      • S•••••••• J••••• A•••• · Portfolio Managercontrol
        since 05/2012 · owns less than 5%
      • S•••••• T••••••• A••• · Ccocontrol
        since 01/2009 · owns less than 5%
      • C••••• S••••• A•••• · Membercontrol
        since 01/2012 · owns 25% to 50% of G•• L••
      • C••••• S••••• A•••• · Membercontrol
        since 10/2001 · owns 25% to 50% of C•• I••••••••• LLC
      • L••••••• J••••••• · Membercontrol
        since 10/2001 · owns 25% to 50% of C•• I••••••••• LLC
      • L••••••• J••••••• · Membercontrol
        since 01/2012 · owns 25% to 50% of G•• L••
      • S•••••••• J••••• A•••• · Managing Membercontrol
        since 08/2010 · owns 75% or more of I••• C•••••• M••••••••• LLC
      Entity owners
      • G•• L•• · Owner
        direct · owns 75% or more
      • C•• I••••••••• L•• · Owner
        direct · owns less than 5%
      • I••• C•••••• M••••••••• L•• · Owner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • C•• G••••• H••••••• L••
        bankn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      One filing, no change to show.
      Signals
      1 dated events
      • C•• A•••• M••••••••• L•••••• filed its initial SEC registration (Form ADV)
        Mar 5, 2013 · 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