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P••••••••• A••••••

Former SEC-registered adviserFormer SEC adviser· Chicago, Illinois

Former SEC-registered adviser, based in Chicago, Illinois, reporting $1.2M of regulatory assets.

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

Last reported RAUM
$1.2M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
+17%
Form ADV, consecutive annual filings
Private clients
100% of RAUM, $1.2M
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 283900 · SEC 801-107943 · 13 filingsShow
CRD 283900SEC 801-107943Legal name P••••••••• S••••••••• L••First filing on the tape Jun 1, 2016, latest Jul 28, 2020IAPD
RAUM
$1.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$1.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$1.2M as of Jul 28, 2020
Jan 13, 2017$185,000 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Jul 28, 2020
Jan 13, 20171 then
Employees (5.A)3 as of Jul 28, 2020
Jan 13, 20171 then
Private funds: no history
RAUM +17% over the last fiscal year+86% a year over threeIARs 1 to 1offices 1 to 0
Practice profile
derived from the filing of Jul 28, 2020; every figure names its basis
RAUM per advisor
$1.2MderivedRAUM 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
$400,000derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+17%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, 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
  • Individuals$1.2M100%
Individual clients
1reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
      • G•••••••• M•••• H• · Chief Compliance Officercontrol
        since 10/2017 · owns less than 5%
      • S••••••• M••••• F•••••••• · Managing Membercontrol
        since 01/2004 · owns 50% to 75% of P•••• R••••••• I•••
      Entity owners
      • P•••• R••••••• I••• · Member
        direct · 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 · 5 to 3
        May 2, 2019 to Jul 28, 2020
      • Other offices · 1 to 0
        May 2, 2019 to Jul 28, 2020
      • Discretionary RAUM · $1.0M to $1.2M
        May 2, 2019 to Jul 28, 2020
      • Individual RAUM · $1.0M to $1.2M
        May 2, 2019 to Jul 28, 2020
      • RAUM · $1.0M to $1.2M
        May 2, 2019 to Jul 28, 2020
      • Accounts · 4 to 5
        Jan 22, 2018 to May 2, 2019
      • Discretionary RAUM · $409,421 to $1.0M
        Jan 22, 2018 to May 2, 2019
      • Individual RAUM · $409,421 to $1.0M
        Jan 22, 2018 to May 2, 2019
      • RAUM · $409,421 to $1.0M
        Jan 22, 2018 to May 2, 2019
      • Corporate clients · 1.0 to unset
        Oct 30, 2017 to Jan 22, 2018
      • Discretionary RAUM · $400,000 to $409,421
        Oct 30, 2017 to Jan 22, 2018
      • Individual RAUM · $335,000 to $409,421
        Oct 30, 2017 to Jan 22, 2018
      • RAUM · $400,000 to $409,421
        Oct 30, 2017 to Jan 22, 2018
      • Employees · 1 to 3
        Oct 10, 2017 to Oct 30, 2017
      • Other offices · 2 to 1
        Oct 10, 2017 to Oct 30, 2017
      • Corporate clients · unset to 1.0
        Oct 2, 2017 to Oct 3, 2017
      • Individual clients · unset to 1.0
        Oct 2, 2017 to Oct 3, 2017
      • Individual RAUM · unset to 335000.0
        Oct 2, 2017 to Oct 3, 2017
      • Accounts · 2 to 4
        Jan 13, 2017 to Oct 2, 2017
      • Other offices · unset to 2.0
        Jan 13, 2017 to Oct 2, 2017
      • Discretionary RAUM · $185,000 to $400,000
        Jan 13, 2017 to Oct 2, 2017
      • RAUM · $185,000 to $400,000
        Jan 13, 2017 to Oct 2, 2017
      • Accounts · 0 to 2
        Nov 15, 2016 to Jan 13, 2017
      • Discretionary RAUM · $0 to $185,000
        Nov 15, 2016 to Jan 13, 2017
      • RAUM · $0 to $185,000
        Nov 15, 2016 to Jan 13, 2017
      • Business name · P••••••••• S••••••••• L•• to P••••••••• A••••••
        Nov 15, 2016 to Nov 15, 2016
      • State-registered IARs · 0 to 1
        Jun 1, 2016 to Jul 26, 2016
      Signals
      1 dated events
      • ••• Locked
        Jun 1, 2016 · 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