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Former SEC-registered adviserFormer SEC adviser· Chicago, Illinois

Former SEC-registered adviser, based in Chicago, Illinois, reporting $12,000 of regulatory assets.

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

Last reported RAUM
$12,000
Form ADV
Private clients
100% of RAUM, $12,000
Form ADV
AdvisorsAdvisor 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 5 Form ADV filings for this adviser, the latest 2.5 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 322904 · SEC 801-126702 · 5 filingsShow
CRD 322904SEC 801-126702First filing on the tape Sep 7, 2022, latest Mar 29, 2024IAPD
RAUM
$12,000
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$12,000 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$12,000 as of Mar 29, 2024
Mar 31, 2023$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2024
Mar 31, 20230 then
Employees (5.A)2 as of Mar 29, 2024
Mar 31, 20233 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2024; 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
$480derivedRAUM 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 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
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, publicationsreportedItem 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
  • Individuals$12,000100%
Individual clients
25reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
25reported
Financial planning clients
0reported
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 10 longest tenured
      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
      • F••••••••• S•••• N••••••• · Owner / Chief Compliance Officercontrol
        since 04/2022 · owns 25% to 50%
      • G••••••••• A•••••• J•••• · Ownercontrol
        since 04/2022 · owns 25% to 50%
      • L•• K••••• X•••• · Ownercontrol
        since 04/2022 · owns 25% to 50%
      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 · 0 to 25
        Sep 6, 2023 to Mar 29, 2024
      • Advisory employees · 3 to 2
        Sep 6, 2023 to Mar 29, 2024
      • Individual clients · unset to 25.0
        Sep 6, 2023 to Mar 29, 2024
      • Employees · 3 to 2
        Sep 6, 2023 to Mar 29, 2024
      • Individual RAUM · unset to 12000.0
        Sep 6, 2023 to Mar 29, 2024
      Full history · 12 changes
      • Non-discretionary RAUM · $0 to $12,000
        Sep 6, 2023 to Mar 29, 2024
      • RAUM · $0 to $12,000
        Sep 6, 2023 to Mar 29, 2024
      • Accounts · unset to 0.0
        Sep 29, 2022 to Mar 31, 2023
      • Discretionary RAUM · unset to 0.0
        Sep 29, 2022 to Mar 31, 2023
      • Non-discretionary RAUM · unset to 0.0
        Sep 29, 2022 to Mar 31, 2023
      • RAUM · unset to 0.0
        Sep 29, 2022 to Mar 31, 2023
      • Related bank · true to false
        Sep 29, 2022 to Mar 31, 2023
      Signals
      1 dated events
      • ••• Locked
        Sep 7, 2022 · 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
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026