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Former SEC-registered adviser

N•••• I••••••••• A••••••

Former SEC-registered adviserCRD 181529SEC 801-106740IAPD
Legal name C•••• G•••••• A•
Latest filing May 4, 2017
First filing on the tape Sep 29, 2015 · 9 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$850,000 as of May 2, 2016
Jan 4, 2016$850,000 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 4, 2017
Sep 29, 20150 then
Employees (5.A)1 as of May 4, 2017
Sep 29, 20151 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 4, 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
fixed fees, subscriptionreportedItem 5.E
Advisory activities
publications, educational seminarsreportedItem 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)
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
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixedreported
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
      • C•••• G••••••• A• · Ccocontrol
        since 04/2015 · 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
      • Accounts · 15.0 to unset
        May 2, 2016 to Feb 13, 2017
      • Advisory activities · 5 to 3
        May 2, 2016 to Feb 13, 2017
      • HQ city · MATTESON to unset
        May 2, 2016 to Feb 13, 2017
      • HQ state · IL to unset
        May 2, 2016 to Feb 13, 2017
      • Discretionary RAUM · 500000.0 to unset
        May 2, 2016 to Feb 13, 2017
      • Non-discretionary RAUM · 350000.0 to unset
        May 2, 2016 to Feb 13, 2017
      • RAUM · 850000.0 to unset
        May 2, 2016 to Feb 13, 2017
      • Accounts · unset to 15.0
        Oct 13, 2015 to Jan 4, 2016
      • Discretionary RAUM · unset to 500000.0
        Oct 13, 2015 to Jan 4, 2016
      • Non-discretionary RAUM · unset to 350000.0
        Oct 13, 2015 to Jan 4, 2016
      • RAUM · unset to 850000.0
        Oct 13, 2015 to Jan 4, 2016
      • Organization form · Partnership to Sole Proprietorship
        Sep 29, 2015 to Oct 13, 2015
      • Business name · N•••• I••••••••• A••••••• to N•••• I••••••••• A••••••
        Oct 13, 2015 to Oct 13, 2015
      Signals
      1 dated events
      • N•••• I••••••••• A••••••• filed its initial SEC registration (Form ADV)
        Sep 29, 2015 · 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