DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Advanced Equities, Inc.

Former SEC-registered adviserChicago, IllinoisCRD 35545SEC 801-67983IAPD

Latest filing Oct 18, 2012

First filing on the tape Mar 28, 2012 · 11 filings

RAUM

$868M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

n/a

n/a advisory (5.B.1)

Offices

n/a

beyond the principal office

Private funds

132

$862M gross assets

History

11 filings and snapshots on the tape

RAUM$868M as of Oct 18, 2012

Mar 28, 2012$868M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Oct 18, 2012

Mar 28, 20120 then

Employees (5.A): no history

Private funds132 as of Oct 18, 2012

Mar 28, 2012132 then

RAUM n/a over the last fiscal year

Practice profile

derived from the filing of Oct 18, 2012; 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: $4.2MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived3 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, performance-basedreportedItem 5.E
Advisory activities: portfolio management for pooled vehicles, selection of other advisersreportedItem 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

is a broker-dealer (6.A.1)
is an insurance broker or agent (6.A.6)
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)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)

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: 209reported
Financial planning clients: 0reported
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

0 on IAPD today, longest tenure first

No representative is registered through this CRD on IAPD.

Advisor movement

Left, latest

James Patrick Kozak to Roth Capital Partners, LLC
Nov 20, 2012 · Other
Saju Bahuleyan to Charles Schwab & Co., Inc.
Nov 20, 2012 · Other
Christopher William Struck to First Trust Advisors LP
Nov 20, 2012 · Other
John Peter Ferrick to Roth Capital Partners, LLC
Nov 20, 2012 · Other
David M Kubica to Charles Schwab & Co., Inc.
Nov 20, 2012 · Other
Peter Sean Mcdonnell to Roth Capital Partners, LLC
Nov 20, 2012 · Other
Gerald Palmer Pascal to Voya Retirement Advisors, LLC
Nov 20, 2012 · Other
William Henry Metz to Feltl Advisors
Nov 19, 2012 · Other
Mark Herbert Miller to First Trust Advisors LP
Nov 19, 2012 · Other
Richard Alan Catipon to Morgan Stanley
Nov 19, 2012 · Other
Silvio D. Morales to Morgan Stanley
Nov 19, 2012 · Other
Arthur Leo Coleman to Wells Fargo Advisors
Nov 19, 2012 · Other
Michael Christopher Buchcar to Cetera Advisor Networks LLC
Nov 19, 2012 · Other
Gordon Eliot Fallone to Roth Capital Partners, LLC
Nov 19, 2012 · Other
Peter Raymond Fogarty to Roth Capital Partners, LLC
Nov 19, 2012 · Other

Joined, latest

Michael Christopher Buchcar from Citigroup Global Markets Inc.
Jan 25, 2012 · Other
David M Kubica from David A. Noyes & Company
Nov 16, 2011 · Other
William Knowis Kaiser from Hennion & Walsh Asset Management, Inc.
Feb 16, 2011 · Other
Thomas Jon Casper from Lyons Wealth Management
Dec 9, 2010 · Other
Christopher Clarke Gilmor from Svb Asset Management
Dec 3, 2010 · Other
Gerald Palmer Pascal from Wells Fargo Investments, LLC
Jun 2, 2010 · Other
Saju Bahuleyan from Lasalle St. Investment Advisors, L.L.C.
Apr 12, 2010 · Other
Robert Joseph Szigeti from Fisher Investments
Apr 9, 2010 · Other
Arthur Leo Coleman from Citigroup Global Markets Inc.
Feb 1, 2010 · Other
Nathan J Hurty from Edward Jones
Dec 16, 2009 · Other
William Frederick Pedersen from Fisher Investments
Jul 17, 2009 · Other
Daniel Patrick O'Malley from Ameriprise Advisor Services, Inc.
Apr 15, 2009 · Other
James Patrick Lynch from Banc Of America Investment Services, Inc.
Jul 30, 2008 · Other
John B Balmer from Peak Securities Corporation
Jun 5, 2008 · Other
Todd Lee Schossow from RBC Capital Markets, LLC
Apr 15, 2008 · Other

Every departure Every arrival

Private funds

43 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
Aei Fisker Investments II, LLC	Private Equity Fund	$50.2M	448	Mar 28, 2012
Aei Fisker Investments IV, LLC	Private Equity Fund	$38.6M	238	Mar 28, 2012
Aei Fisker Vi, LLC	Private Equity Fund	$35.1M	207	Mar 28, 2012
Aei Fisker Viii, LLC	Private Equity Fund	$24.1M	211	Mar 28, 2012
Advanced Equities Solfocus Investments II, LLC	Private Equity Fund	$19.2M	233	Mar 28, 2012
Aei Silicon Valley Fund II, LLC	Private Equity Fund	$16.8M	3	Mar 28, 2012
Aei Fisker Investments I, LLC	Private Equity Fund	$13.3M	103	Mar 28, 2012
Aei Fisker Investments III, LLC	Private Equity Fund	$11.4M	101	Mar 28, 2012
Aei Serious Materials Investments II, LLC	Private Equity Fund	$9.1M	102	Mar 28, 2012
Advanced Equities Suniva Investments II, LLC	Private Equity Fund	$8.6M	80	Mar 28, 2012
Aei Fisker Vii, LLC	Private Equity Fund	$5.3M	71	Mar 28, 2012
Innovative Technology Partners II, LP	Private Equity Fund	$5.2M	1	Mar 28, 2012
Advanced Equities Solfocus Investments I, LLC	Private Equity Fund	$4.9M	100	Mar 28, 2012
Aei Suniva Investments IV, LLC	Private Equity Fund	$4.4M	70	Mar 28, 2012
Aei Tethys II, LLC	Private Equity Fund	$3.6M	49	Mar 28, 2012
Advanced Equities Investments Xxviii, LLC	Private Equity Fund	$3.3M	71	Mar 28, 2012
Advanced Equities Markettools Investments I, LLC	Private Equity Fund	$3.1M	44	Mar 28, 2012
Advanced Equities Suniva Investments I, LLC	Private Equity Fund	$3.0M	28	Mar 28, 2012
Aei Serious Materials Investments I, LLC	Private Equity Fund	$2.7M	65	Mar 28, 2012
Aei Quantia Investments III, LLC	Private Equity Fund	$2.7M	31	Mar 28, 2012
Advanced Equities Investments Xxxiii, LLC	Private Equity Fund	$2.2M	69	Mar 28, 2012
Advanced Equities Sezmi Investments I, LLC	Private Equity Fund	$1.7M	28	Mar 28, 2012
Advanced Equities Quantia Investments I, LLC	Private Equity Fund	$1.7M	23	Mar 28, 2012
Advanced Equities Netxen Investments II, LLC	Private Equity Fund	$1.5M	146	Mar 28, 2012
Aei Tethys I, LLC	Private Equity Fund	$1.4M	30	Mar 28, 2012
Advanced Equities Investments Xxix, LLC	Private Equity Fund	$1.3M	16	Mar 28, 2012
Aei Suniva Investments III, LLC	Private Equity Fund	$1.1M	33	Mar 28, 2012
Aei Sezmi Investments IV, LLC	Private Equity Fund	$1.1M	15	Mar 28, 2012
Advanced Equities Iskoot Investments II, LLC	Private Equity Fund	$925,989	51	Mar 28, 2012
Aei Patron II, LLC	Private Equity Fund	$901,500	20	Mar 28, 2012
Advanced Equities Presto Investments I, LLC	Private Equity Fund	$824,285	19	Mar 28, 2012
Aei Patron III, LLC	Private Equity Fund	$750,000	4	Mar 28, 2012
Aei Sezmi Investments III, LLC	Private Equity Fund	$454,414	13	Mar 28, 2012
Advanced Equities Iskoot Investments I, LLC	Private Equity Fund	$405,292	47	Mar 28, 2012
Aei Patron I, LLC	Private Equity Fund	$297,500	7	Mar 28, 2012
Advanced Equities Netxen Investments I, LLC	Private Equity Fund	$256,772	47	Mar 28, 2012
Advanced Equities Investments Xvii, LLC	Private Equity Fund	$200,000	4	Mar 28, 2012
Aei F10 Investments I, LLC	Private Equity Fund	$122,891	22	Mar 28, 2012
Advanced Equities Investments Viii, LLC	Private Equity Fund	$100,093	37	Mar 28, 2012
Advanced Equities Investments IV, LLC	Private Equity Fund	$97,391	23	Mar 28, 2012

All funds of Advanced Equities, Inc.

Owners and control persons

Schedule A and B, latest filing

Saju Bahuleyan · Chief Compliance Officer - Registered Investment Advisor Divisioncontrol
since 05/2010 · owns less than 5%
Keith Enrique Beck · Chief Compliance Officer- Broker Dealercontrol
since 07/2010 · owns less than 5%
Brian Bender · Municipal Securities Principalcontrol
since 03/2008 · owns less than 5%
Basil Christakos · Compliance And Branch Manager - New Yorkcontrol
since 01/2012 · owns less than 5%
Byron Keith Crowe · Presidentcontrol
since 10/2012 · owns less than 5%
Keith Gregory Daubenspeck · Chairman Aefccontrol
since 11/1998 · owns less than 5%
Matthew S Gartner · Compliance Manager - Chicagocontrol
since 10/2011 · owns less than 5%
Leonidas Carter Mecham · Chief Financial Officercontrol
since 10/2012 · owns less than 5%
Gerald Palmer Pascal · Compliance And Branch Manager- San Franciscocontrol
since 05/2010 · owns less than 5%
David Shawn Rogers · Chief Operating Officercontrol
since 10/2012 · owns less than 5%

Entity owners

Advanced Equities Financial Corp. · Owner
direct · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

New York, NY
San Francisco, CA

What changed

consecutive filings, newest first

Advisory activities · 3 to 2
Mar 30, 2012 to Jul 23, 2012
Related broker-dealer · true to false
Mar 30, 2012 to Jul 23, 2012

Signals

No event on the tape.

Across DFX

shared identifiers only, never a name match

Advanced Equities, Inc. · Private Equity
shared crd · organization

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