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Former SEC-registered adviser

T•••••• A••••••••• L••

Former SEC-registered adviserChicago, IllinoisCRD 166462SEC 801-77659IAPD
Latest filing Feb 26, 2016
First filing on the tape Feb 14, 2013 · 16 filings
RAUM
$54.0M
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
4
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$54.0M as of Feb 26, 2016
Feb 26, 2014$10.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 26, 2016
Feb 26, 20140 then
Employees (5.A)4 as of Feb 26, 2016
Feb 26, 20145 then
Private funds: no history
RAUM +100% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Feb 26, 2016; 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
$4.5MderivedRAUM 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
+100%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
controlled by a public reporting companyderived
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)
  • 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
12reported
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
      • D•••••• P•••• J••••• · General Counsel, Member Of Managercontrol
        since 06/2012 · owns less than 5%
      • R•••••••• C••••••••• R••• · Member And Co-Trustee Of L••••••• R••• Z•••• Trustcontrol
        since 09/2012 · owns 25% to 50%
      • Z••••• P••••• P••• · Member And Co-Trustee Of L••••••• R••• Z•••• Trustcontrol
        since 09/2012 · owns 25% to 50%
      • M•••••••• L••••• S•••• · Trustee Of The L•••• S. M••••••• Trust
        since 09/2012 · owns 10% to 25%
      • M••••• J•••• K•••••• · Cio - Portfolio Manager
        since 01/2016 · owns 10% to 25%
      • R•••••••• S••••••• H•••• · Member
        since 09/2012 · owns 10% to 25%
      • V•••• R•••••• C•••••••• · Chief Compliance Officer
        since 02/2013 · owns less than 5%
      • K••••••••• S•••••• M••••• · Owner Of M••••••••• A••••••••• I•••
        since 01/2013 · owns 75% or more of M••••••••• A••••••••• I•••
      • M•••••••• C••••• G••••• · Member Of C•••••• L••
        since 06/2002 · owns 50% to 75% of C•••••• L••
      • M••••• J•••• K•••••• · Member Of A••••• C••••••• L••
        since 02/2014 · owns 50% to 75% of A••••• C••••••• L••
      • S••••••••• S••••• A•••• · Member Of C•••••• L••
        since 06/2002 · owns 25% to 50% of C•••••• L••
      Entity owners
      • A••••• C••••••• L•• · Member
        direct · owns 10% to 25%
      • C•••••• L•• · Member
        direct · owns 10% to 25%
      • L••••••• R••• Z•••• D••••••••• O• T•••• · Member
        direct · owns 10% to 25%
      • M••••••••• A••••••••• I••• · Member
        direct · owns 10% to 25%
      • T•• L•••• S• M••••••• R•••••••• T•••• U•••• J••• 2•• 1••• · Member
        direct · owns 10% to 25%
      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
      • Accounts · 1 to 12
        Jan 28, 2016 to Feb 26, 2016
      • Advisory employees · 2 to 3
        Jan 28, 2016 to Feb 26, 2016
      • Discretionary RAUM · $60.0M to $54.0M
        Jan 28, 2016 to Feb 26, 2016
      • RAUM · $60.0M to $54.0M
        Jan 28, 2016 to Feb 26, 2016
      • Discretionary RAUM · $27.0M to $60.0M
        Jan 13, 2016 to Jan 28, 2016
      • RAUM · $27.0M to $60.0M
        Jan 13, 2016 to Jan 28, 2016
      • Employees · 5 to 4
        Nov 24, 2014 to Mar 26, 2015
      • HQ city · OAK BROOK TERRACE to CHICAGO
        Nov 24, 2014 to Mar 26, 2015
      • Discretionary RAUM · $10.6M to $27.0M
        Nov 24, 2014 to Mar 26, 2015
      • RAUM · $10.6M to $27.0M
        Nov 24, 2014 to Mar 26, 2015
      • Related adviser · false to true
        Nov 24, 2014 to Mar 26, 2015
      • Accounts · 0 to 1
        Oct 2, 2013 to Feb 26, 2014
      • Employees · 3 to 5
        Oct 2, 2013 to Feb 26, 2014
      • HQ city · OAK BROOK to OAK BROOK TERRACE
        Oct 2, 2013 to Feb 26, 2014
      • Discretionary RAUM · $0 to $10.6M
        Oct 2, 2013 to Feb 26, 2014
      • RAUM · $0 to $10.6M
        Oct 2, 2013 to Feb 26, 2014
      • Related bank · false to true
        Oct 2, 2013 to Feb 26, 2014
      Signals
      1 dated events
      • T•••••• A••••••••• L•• filed its initial SEC registration (Form ADV)
        Feb 14, 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