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L••• I••••••••• A••••••• L••

Former SEC-registered adviserFormer SEC adviser· Chicago, Illinois

Former SEC-registered adviser, based in Chicago, Illinois.

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

Last reported RAUM
Not applicable
Advisors
1
IAPD
Net advisor flow, 12 months
0 (0 in, 0 out)
IAPD registration history
RAUM change, last fiscal year
Not applicable
Private clients
Not established
Advisors (1)Advisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
What we can say about this record

We hold 13 Form ADV filings for this adviser, the latest 6.3 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 297928 · SEC 801-114027 · 13 filingsShow
CRD 297928SEC 801-114027First filing on the tape Aug 23, 2018, latest Jul 10, 2020IAPD
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
1
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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$5.0M as of Feb 3, 2020
Mar 5, 2019$0 then
HNW client RAUM: $0
State-registered IARs (5.B.3)1 as of Feb 3, 2020
Mar 5, 20191 then
Employees (5.A)1 as of Feb 3, 2020
Mar 5, 20191 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Jul 10, 2020; every figure names its basis
RAUM per advisor
$0derivedRAUM 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
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • an independent public accountant performs a surprise examination (9.C.1)
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
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
0reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
E••••• J••••• S••••••Chicago, IlJul 10, 202020 y1
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
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
      • S••••••• E•••••• J••••• · Chief Compliance Officercontrol
        since 07/2018 · owns less than 5%
      • S•••••••• R••••• · Membercontrol
        since 06/2018 · owns 25% to 50% of R•• G•••• I••••••••• L••
      • S••••••• E•••••• J••••• · Membercontrol
        since 06/2018 · owns 25% to 50% of R•• G•••• I••••••••• L••
      Entity owners
      • R•• G•••• I••••••••• L•• · 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 · 2 to 0
        Jun 30, 2020 to Jul 10, 2020
      • Pooled vehicle clients · 2 to 0
        Jun 30, 2020 to Jul 10, 2020
      • Discretionary RAUM · $400,000 to $0
        Jun 30, 2020 to Jul 10, 2020
      • Non-discretionary RAUM · $4.6M to $0
        Jun 30, 2020 to Jul 10, 2020
      • Pooled vehicle RAUM · $5.0M to $0
        Jun 30, 2020 to Jul 10, 2020
      • RAUM · $5.0M to $0
        Jun 30, 2020 to Jul 10, 2020
      • Assets in custody · unset to 4500000.0
        Feb 3, 2020 to Mar 3, 2020
      • Accounts · 0 to 2
        Apr 29, 2019 to Feb 3, 2020
      • Advisory activities · 2 to 1
        Apr 29, 2019 to Feb 3, 2020
      • Charity clients · unset to 0.0
        Apr 29, 2019 to Feb 3, 2020
      • Corporate clients · unset to 0.0
        Apr 29, 2019 to Feb 3, 2020
      • HNW clients · unset to 0.0
        Apr 29, 2019 to Feb 3, 2020
      • Individual clients · unset to 0.0
        Apr 29, 2019 to Feb 3, 2020
      • Pension plan clients · unset to 0.0
        Apr 29, 2019 to Feb 3, 2020
      • Pooled vehicle clients · unset to 2.0
        Apr 29, 2019 to Feb 3, 2020
      • Discretionary RAUM · $0 to $400,000
        Apr 29, 2019 to Feb 3, 2020
      • HNW RAUM · unset to 0.0
        Apr 29, 2019 to Feb 3, 2020
      • Individual RAUM · unset to 0.0
        Apr 29, 2019 to Feb 3, 2020
      • Non-discretionary RAUM · $0 to $4.6M
        Apr 29, 2019 to Feb 3, 2020
      • Pension RAUM · unset to 0.0
        Apr 29, 2019 to Feb 3, 2020
      • Pooled vehicle RAUM · unset to 5000000.0
        Apr 29, 2019 to Feb 3, 2020
      • RAUM · $0 to $5.0M
        Apr 29, 2019 to Feb 3, 2020
      • Business name · L••• I••••••••• A••••••• L•• to L••• I••••••••• A••••••• L••
        Nov 1, 2018 to Mar 5, 2019
      • Legal name · L••• I••••••••• A••••••• L•• to L••• I••••••••• A••••••• L••
        Nov 1, 2018 to Mar 5, 2019
      Signals
      1 dated events
      • ••• Locked
        Aug 23, 2018 · 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