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RIA Intelligence

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Former SEC-registered adviser

R••••• C•••••• • G••••••• I•••

Former SEC-registered adviserNew York, New YorkCRD 3994SEC 801-5678IAPD
Latest filing Nov 16, 2017
First filing on the tape Jan 30, 2012 · 23 filings
RAUM
$17B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
59
23 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
6
$5.7B gross assets
History
23 filings and snapshots on the tape
RAUM$17B as of Mar 30, 2017
Mar 23, 2012$17B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2017
Mar 23, 20120 then
Employees (5.A)59 as of Mar 30, 2017
Mar 21, 201348 then
Private funds6 as of Mar 30, 2017
Mar 23, 20126 then
RAUM -31% over the last fiscal year-13% a year over threeIARs 7 to 0
Practice profile
derived from the filing of Nov 16, 2017; 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
$9.1MderivedRAUM 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
-31%derivedbetween the last two annual amendments
Advisor growth, one year
-100%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Custody
$42.5M, 1 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • 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
1,891reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$42.5M for 1 clientsreported
Compensation
% of AUMreported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A••••• C••••••••• F••• ••••••••• L•••Hedge Fund$959M49Jan 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • D•••••• P••••••• L•••• · Chief Financial Officercontrol
        since 11/2017 · owns less than 5%
      • G•••••••• W••••• D• · Executive Vice Presidentcontrol
        since 11/2016 · owns less than 5%
      • P••••• D••••• M••••• · Ceo & Presidentcontrol
        since 11/2005 · owns 10% to 25%
      • S•••••• M••••••• N• · General Counsel & Ccocontrol
        since 01/2014 · owns less than 5%
      • A••••••••• G•••••• · Shareholder
        since 01/2004 · owns 10% to 25%
      • G••••••••• A••••• C••••• · Shareholder
        since 04/2017 · owns 5% to 10%
      • G•••••••• R•••••• D•••• · Shareholder
        since 11/2005 · owns 10% to 25%
      • H•••••• J•••• B••••• · Trustee Of J••• B• H••••• 1••• T••••
        since 04/2017 · owns 10% to 25%
      • H•••••• K•••• W•••••• W••••••• · Trustee Of J••• B• H••••• 1••• T••••
        since 04/2017 · owns 10% to 25%
      • M•••••• T•••••• R••• · Shareholder
        since 04/2017 · owns 5% to 10%
      • S•••••••• D••••• C•••• · Shareholder
        since 04/2017 · owns 5% to 10%
      • S••••••••• G••••••• W•••••• · Shareholder
        since 04/2017 · owns 5% to 10%
      Entity owners
      • J••• B• H••••• 1••• T•••• · Shareholder
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Chicago, IL1 employees
      What changed
      consecutive filings, newest first
      • Other offices · unset to 2.0
        Apr 28, 2017 to Nov 16, 2017
      • Accounts · 1,963 to 1,891
        Jan 30, 2017 to Mar 30, 2017
      • Advisory employees · 26 to 23
        Jan 30, 2017 to Mar 30, 2017
      • Assets in custody · $37.4M to $42.5M
        Jan 30, 2017 to Mar 30, 2017
      • Employees · 57 to 59
        Jan 30, 2017 to Mar 30, 2017
      • Discretionary RAUM · $18B to $17B
        Jan 30, 2017 to Mar 30, 2017
      • RAUM · $18B to $17B
        Jan 30, 2017 to Mar 30, 2017
      • Accounts · 2,108 to 1,963
        Jun 13, 2016 to Sep 1, 2016
      • Assets in custody · $58.6M to $37.4M
        Jun 13, 2016 to Sep 1, 2016
      • State-registered IARs · 7 to 0
        Jun 13, 2016 to Sep 1, 2016
      • Discretionary RAUM · $25B to $18B
        Jun 13, 2016 to Sep 1, 2016
      • RAUM · $25B to $18B
        Jun 13, 2016 to Sep 1, 2016
      • Related adviser · false to true
        Jun 13, 2016 to Sep 1, 2016
      • Accounts · 2,065 to 2,108
        Sep 29, 2015 to Mar 22, 2016
      • Advisory employees · 23 to 26
        Sep 29, 2015 to Mar 22, 2016
      • Assets in custody · $60.4M to $58.6M
        Sep 29, 2015 to Mar 22, 2016
      • Employees · 51 to 57
        Sep 29, 2015 to Mar 22, 2016
      • Discretionary RAUM · $28B to $25B
        Sep 29, 2015 to Mar 22, 2016
      • RAUM · $28B to $25B
        Sep 29, 2015 to Mar 22, 2016
      • Assets in custody · $59.6M to $60.4M
        Mar 26, 2014 to Mar 27, 2015
      • Employees · 49 to 51
        Mar 26, 2014 to Mar 27, 2015
      • State-registered IARs · 8 to 7
        Mar 26, 2014 to Mar 27, 2015
      • Discretionary RAUM · $27B to $28B
        Mar 26, 2014 to Mar 27, 2015
      • RAUM · $27B to $28B
        Mar 26, 2014 to Mar 27, 2015
      • Accounts · 2,033 to 2,065
        Mar 26, 2014 to Mar 27, 2015
      • Advisory employees · 21 to 23
        Mar 26, 2014 to Mar 27, 2015
      • BD registered reps · 25 to 24
        Mar 26, 2014 to Mar 27, 2015
      • Accounts · 1,941 to 2,033
        Jan 16, 2014 to Mar 24, 2014
      • BD registered reps · 23 to 25
        Jan 16, 2014 to Mar 24, 2014
      • Assets in custody · $43.0M to $59.6M
        Jan 16, 2014 to Mar 24, 2014
      • Employees · 48 to 49
        Jan 16, 2014 to Mar 24, 2014
      • Discretionary RAUM · $20B to $27B
        Jan 16, 2014 to Mar 24, 2014
      • RAUM · $20B to $27B
        Jan 16, 2014 to Mar 24, 2014
      • Accounts · 1,861 to 1,941
        Nov 13, 2012 to Mar 21, 2013
      • Advisory employees · 20 to 21
        Nov 13, 2012 to Mar 21, 2013
      • Assets in custody · $39.0M to $43.0M
        Nov 13, 2012 to Mar 21, 2013
      • Employees · 44 to 48
        Nov 13, 2012 to Mar 21, 2013
      • Discretionary RAUM · $17B to $20B
        Nov 13, 2012 to Mar 21, 2013
      • RAUM · $17B to $20B
        Nov 13, 2012 to Mar 21, 2013
      • Related bank · false to true
        Nov 13, 2012 to Mar 21, 2013
      Signals
      No event on the tape.
      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