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Former SEC-registered adviser

T•••• C••••••• L••

Former SEC-registered adviserOak Brook, IllinoisCRD 168592SEC 801-110887IAPD
Latest filing Mar 14, 2019
First filing on the tape Jun 26, 2017 · 4 filings
RAUM
$382M
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
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$382M as of Mar 14, 2019
Mar 29, 2018$211M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 14, 2019
Mar 29, 20180 then
Employees (5.A)4 as of Mar 14, 2019
Mar 29, 20184 then
Private funds: no history
RAUM +82% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 14, 2019; 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
$95.6MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+82%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$382M100%
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
noreported
Compensation
fixed, 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
      W•••••• C•••••• S••••• F••• L•• • S••••• L• 2•no longer reportedHedge Fund$33.5M1Aug 6, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • T•••••••• J•••• A••••• · Managing Member, Chief Executive Officer And Chief Compliance Officercontrol
        since 07/2013 · owns 75% or more
      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
      • Discretionary RAUM · $480M to $382M
        Jul 19, 2018 to Mar 14, 2019
      • Pooled vehicle RAUM · $480M to $382M
        Jul 19, 2018 to Mar 14, 2019
      • RAUM · $480M to $382M
        Jul 19, 2018 to Mar 14, 2019
      • Discretionary RAUM · $211M to $480M
        Mar 29, 2018 to Jul 19, 2018
      • Pooled vehicle RAUM · $211M to $480M
        Mar 29, 2018 to Jul 19, 2018
      • RAUM · $211M to $480M
        Mar 29, 2018 to Jul 19, 2018
      • Accounts · 5 to 4
        Jun 26, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 4.0
        Jun 26, 2017 to Mar 29, 2018
      • Other offices · unset to 1.0
        Jun 26, 2017 to Mar 29, 2018
      • Discretionary RAUM · $1.1B to $211M
        Jun 26, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 210606550.0
        Jun 26, 2017 to Mar 29, 2018
      • RAUM · $1.1B to $211M
        Jun 26, 2017 to Mar 29, 2018
      Signals
      3 dated events
      • ••• Locked
        Jul 19, 2018 · RAUM change · derived
      • ••• Locked
        Mar 29, 2018 · RAUM change · derived
      • ••• Locked
        Jun 26, 2017 · 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