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RIA Intelligence

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W••••• S••••••••• P•••••••• L••

Former SEC-registered adviserFormer SEC adviser· Chicago, Illinois

Former SEC-registered adviser, based in Chicago, Illinois, reporting $168M of regulatory assets.

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

Last reported RAUM
$168M
Form ADV
RAUM change, 1 year
-46%
Form ADV, consecutive annual filings
Private clients
0.0%
of RAUM
Form ADV
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 29 Mar 2022, RAUM $313M to $168M (-46.2%) on the Form ADV filed 29 Mar 2022.

Every filed figure, and the identifiersCRD 292001 · SEC 801-112514 · 7 filingsShow
CRD 292001SEC 801-112514First filing on the tape Jan 26, 2018, latest Mar 29, 2022IAPD
RAUM
$168M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape

RAUM -14% a year over three years · the tape starts Jan 26, 2018

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$168M as of Mar 29, 2022
Mar 13, 2018$301M then
HNW client RAUM$31.7M as of Mar 28, 2021
Mar 13, 2018$34.3M then
State-registered IARs (5.B.3)0 as of Mar 29, 2022
Mar 13, 20180 then
Employees (5.A)4 as of Mar 29, 2022
Mar 13, 20187 then
Private funds: no history
RAUM -46% over the last fiscal year-14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2022; every figure names its basis
The rule behind each archetype, and every derived figureShow
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
$56.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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 office incl. principal (1.F.5)
RAUM growth, one year
-46%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 assets, fixed feesreportedItem 5.E
Advisory activities
selection of other advisers, educational seminars, otherreportedItem 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

No Item 5.D breakdown on this filing.

The breakdown by client type, and the client countsShow
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
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
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • G••••••••• R•••••• L•••• · Co-Managing Partner, Managing Membercontrol
        since 01/2018 · owns 25% to 50%
      • L••••• S•••••• E••• · Co-Managing Partner, Chief Investment Officer, Managing Membercontrol
        since 01/2018 · owns 25% to 50%
      • L••••• S••••• K••••••••• · Chief Compliance Officer, Partnercontrol
        since 01/2018 · owns 10% to 25%
      • L••••• S•••••• E••• · Trusteecontrol
        since 10/2001 · owns F of S••••• E• L•••• 1••• T••••
      • L••••• S••••• K••••••••• · Trusteecontrol
        since 10/2001 · owns F of S•••• K••••••••• L•••• 2••• T••••
      Entity owners
      • S••••• E• L•••• 1••• T•••• · Member
        direct · owns 25% to 50%
      • S•••• K••••••••• L•••• 2••• T•••• · 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 · 13 to 3
        Mar 28, 2021 to Mar 29, 2022
      • Advisory employees · 7 to 3
        Mar 28, 2021 to Mar 29, 2022
      • Advisory activities · 4 to 3
        Mar 28, 2021 to Mar 29, 2022
      • Charity clients · 0.0 to unset
        Mar 28, 2021 to Mar 29, 2022
      • Corporate clients · 0.0 to unset
        Mar 28, 2021 to Mar 29, 2022
      Full history · 40 changes
      • HNW clients · 6.0 to unset
        Mar 28, 2021 to Mar 29, 2022
      • Individual clients · 0.0 to unset
        Mar 28, 2021 to Mar 29, 2022
      • Pension plan clients · 1.0 to unset
        Mar 28, 2021 to Mar 29, 2022
      • Pooled vehicle clients · 0.0 to unset
        Mar 28, 2021 to Mar 29, 2022
      • Employees · 8 to 4
        Mar 28, 2021 to Mar 29, 2022
      • HQ city · unset to CHICAGO
        Mar 28, 2021 to Mar 29, 2022
      • HQ state · unset to IL
        Mar 28, 2021 to Mar 29, 2022
      • HNW RAUM · 31694535.0 to unset
        Mar 28, 2021 to Mar 29, 2022
      • Individual RAUM · 0.0 to unset
        Mar 28, 2021 to Mar 29, 2022
      • Non-discretionary RAUM · $313M to $168M
        Mar 28, 2021 to Mar 29, 2022
      • Pension RAUM · 6647507.0 to unset
        Mar 28, 2021 to Mar 29, 2022
      • Pooled vehicle RAUM · 0.0 to unset
        Mar 28, 2021 to Mar 29, 2022
      • RAUM · $313M to $168M
        Mar 28, 2021 to Mar 29, 2022
      • Accounts · 12 to 13
        Jun 25, 2020 to Mar 28, 2021
      • HQ city · CHICAGO to unset
        Jun 25, 2020 to Mar 28, 2021
      • HQ state · IL to unset
        Jun 25, 2020 to Mar 28, 2021
      • HNW RAUM · $32.8M to $31.7M
        Jun 25, 2020 to Mar 28, 2021
      • Non-discretionary RAUM · $288M to $313M
        Jun 25, 2020 to Mar 28, 2021
      • Pension RAUM · $6.5M to $6.6M
        Jun 25, 2020 to Mar 28, 2021
      • RAUM · $288M to $313M
        Jun 25, 2020 to Mar 28, 2021
      • Advisory employees · 6 to 7
        Mar 26, 2019 to Mar 23, 2020
      • Employees · 7 to 8
        Mar 26, 2019 to Mar 23, 2020
      • HNW RAUM · $29.0M to $32.8M
        Mar 26, 2019 to Mar 23, 2020
      • Non-discretionary RAUM · $262M to $288M
        Mar 26, 2019 to Mar 23, 2020
      • Pension RAUM · $5.5M to $6.5M
        Mar 26, 2019 to Mar 23, 2020
      • RAUM · $262M to $288M
        Mar 26, 2019 to Mar 23, 2020
      • HNW RAUM · $34.3M to $29.0M
        Mar 13, 2018 to Mar 26, 2019
      • Non-discretionary RAUM · $301M to $262M
        Mar 13, 2018 to Mar 26, 2019
      • Pension RAUM · $5.8M to $5.5M
        Mar 13, 2018 to Mar 26, 2019
      • RAUM · $301M to $262M
        Mar 13, 2018 to Mar 26, 2019
      • HNW RAUM · $33.4M to $34.3M
        Jan 26, 2018 to Mar 13, 2018
      • Non-discretionary RAUM · $294M to $301M
        Jan 26, 2018 to Mar 13, 2018
      • Pension RAUM · $5.6M to $5.8M
        Jan 26, 2018 to Mar 13, 2018
      • RAUM · $294M to $301M
        Jan 26, 2018 to Mar 13, 2018
      • Succession · true to false
        Jan 26, 2018 to Mar 13, 2018
      Signals
      3 dated events
      • ••• Locked
        Mar 29, 2022 · RAUM change · derived
      • ••• Locked
        Jan 26, 2018 · First SEC registration · fact
      • ••• Locked
        Jan 26, 2018 · Succession (Item 4) · 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
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026