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

B. C. Ziegler And Company

Former SEC-registered adviserChicago, IllinoisCRD 61SEC 801-19699IAPD
Latest filing Mar 30, 2017
First filing on the tape Mar 30, 2012 · 18 filings
RAUM
$660M
reported, Item 5.F
Discretionary
46%
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
275
60 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$1.3M gross assets
History
18 filings and snapshots on the tape
RAUM$660M as of Mar 30, 2017
Mar 30, 2012$317M then
HNW client RAUM: no history
State-registered IARs (5.B.3)60 as of Mar 30, 2017
Mar 26, 201357 then
Employees (5.A)275 as of Mar 30, 2017
Mar 26, 2013221 then
Private funds2 as of Mar 30, 2017
Mar 30, 20126 then
RAUM +60% over the last fiscal year+27% a year over threeIARs 0 to 60
Practice profile
derived from the filing of Mar 30, 2017; every figure names its basis
RAUM per advisor
$11.0MderivedRAUM 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
$238,796derivedRAUM over accounts (5.F.2.f)
Discretionary
46%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.6derivedItem 5.A over advisors
Advisors per office
5.0derived12 offices incl. principal (1.F.5)
RAUM growth, one year
+60%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
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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)
  • 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)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
  • the adviser acts as qualified custodian (9.D.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
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2,764reported
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
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    7 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    Ziegler Healthcare Real Estate Fund II, LLCno longer reportedReal Estate Fund$12.6M161Mar 30, 2012
    Ziegler Healthcare Real Estate Fund III, LLCno longer reportedReal Estate Fund$7.8M71Mar 30, 2012
    Ziegler Healthcare Real Estate Fund I, LLCno longer reportedReal Estate Fund$7.4M84Mar 30, 2012
    Ziegler Healthcare Real Estate Fund IV, LLCno longer reportedReal Estate Fund$5.1M89Aug 9, 2012
    Ziegler Equity Funding V, LLCPrivate Equity Fund$868,407107Mar 30, 2012
    Ziegler Equity Funding IV, LLCPrivate Equity Fund$383,15358Mar 30, 2012
    Ziegler Equity Funding III, LLCPrivate Equity Fund$27,843102Mar 30, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • Mark Andrew Baumgartner · Senior Managing Director & Chief Credit Officercontrol
      since 01/2010 · owns less than 5%
    • Donald Alton Jr Carlson · Senior Managing Directorcontrol
      since 09/2004 · owns less than 5%
    • Angelique Athiena David · Smd, General Counsel, Corporate Secretary, Head Of Hr And Coocontrol
      since 11/2010 · owns less than 5%
    • Daniel Joseph Hermann · Managing Director-Group Head, Senior Living Finance Directorcontrol
      since 09/2004 · owns less than 5%
    • Robert Alan Moats · Senior Managing Director, Head Of Wealth Managementcontrol
      since 08/2014 · owns less than 5%
    • Thomas Robert Paprocki · Ceo & Directorcontrol
      since 09/2004 · owns less than 5%
    • Kevin Louis Strom · Smd Head Of Capital Marketscontrol
      since 01/2011 · owns less than 5%
    • Jeffrey Carl Vredenbregt · Managing Director, Cfo & Directorcontrol
      since 03/2007 · owns less than 5%
    • Peter Rittenhouse Kellogg · Shareholder - Common Stockcontrol
      since 12/2006 · owns 25% to 50% of The Ziegler Companies, Inc.
    • James Michael Bushman · Director, Chief Compliance Officer
      since 09/2011 · owns less than 5%
    Entity owners
    • The Ziegler Companies, Inc. · Parent Company
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Appleton, WI
    • Heathrow, FL
    • Mequon, WI
    • Middleton, WI
    • Richmond, VA
    • Rockford, IL
    • Scottsdale, AZ
    • Sheboygan, WI
    • Waukesha, WI
    • Wausau, WI
    • West Bend, WI
    What changed
    consecutive filings, newest first
    • Accounts · 1,826 to 2,764
      Mar 30, 2016 to Mar 30, 2017
    • Advisory employees · 73 to 60
      Mar 30, 2016 to Mar 30, 2017
    • Assets in custody · $1.4M to $1.3M
      Mar 30, 2016 to Mar 30, 2017
    • Employees · 268 to 275
      Mar 30, 2016 to Mar 30, 2017
    • Insurance-licensed employees · 59 to 0
      Mar 30, 2016 to Mar 30, 2017
    • State-registered IARs · 0 to 60
      Mar 30, 2016 to Mar 30, 2017
    • Private funds · 3 to 2
      Mar 30, 2016 to Mar 30, 2017
    • Discretionary RAUM · $268M to $303M
      Mar 30, 2016 to Mar 30, 2017
    • Non-discretionary RAUM · $144M to $357M
      Mar 30, 2016 to Mar 30, 2017
    • RAUM · $412M to $660M
      Mar 30, 2016 to Mar 30, 2017
    • Related bank · false to true
      Mar 30, 2016 to Mar 30, 2017
    • Accounts · 1,690 to 1,826
      Nov 12, 2015 to Mar 30, 2016
    • Advisory employees · 97 to 73
      Nov 12, 2015 to Mar 30, 2016
    • Advisory activities · 4 to 5
      Nov 12, 2015 to Mar 30, 2016
    • BD registered reps · 206 to 204
      Nov 12, 2015 to Mar 30, 2016
    • Assets in custody · $37.7M to $1.4M
      Nov 12, 2015 to Mar 30, 2016
    • Employees · 269 to 268
      Nov 12, 2015 to Mar 30, 2016
    • Insurance-licensed employees · 0 to 59
      Nov 12, 2015 to Mar 30, 2016
    • State-registered IARs · 97 to 0
      Nov 12, 2015 to Mar 30, 2016
    • Discretionary RAUM · $292M to $268M
      Nov 12, 2015 to Mar 30, 2016
    • Non-discretionary RAUM · $84.7M to $144M
      Nov 12, 2015 to Mar 30, 2016
    • RAUM · $377M to $412M
      Nov 12, 2015 to Mar 30, 2016
    • Related broker-dealer · false to true
      Nov 12, 2015 to Mar 30, 2016
    • Accounts · 1,554 to 1,690
      Jul 24, 2014 to Mar 30, 2015
    • Advisory employees · 96 to 97
      Jul 24, 2014 to Mar 30, 2015
    • BD registered reps · 204 to 206
      Jul 24, 2014 to Mar 30, 2015
    • Assets in custody · $78.7M to $37.7M
      Jul 24, 2014 to Mar 30, 2015
    • Employees · 226 to 269
      Jul 24, 2014 to Mar 30, 2015
    • State-registered IARs · 96 to 97
      Jul 24, 2014 to Mar 30, 2015
    • Private funds · 7 to 3
      Jul 24, 2014 to Mar 30, 2015
    • Discretionary RAUM · $263M to $292M
      Jul 24, 2014 to Mar 30, 2015
    • Non-discretionary RAUM · $60.6M to $84.7M
      Jul 24, 2014 to Mar 30, 2015
    • RAUM · $324M to $377M
      Jul 24, 2014 to Mar 30, 2015
    • Accounts · 1,232 to 1,554
      Mar 26, 2013 to Mar 28, 2014
    • Advisory employees · 81 to 96
      Mar 26, 2013 to Mar 28, 2014
    • BD registered reps · 81 to 204
      Mar 26, 2013 to Mar 28, 2014
    • Assets in custody · $159M to $78.7M
      Mar 26, 2013 to Mar 28, 2014
    • Employees · 221 to 226
      Mar 26, 2013 to Mar 28, 2014
    • State-registered IARs · 57 to 96
      Mar 26, 2013 to Mar 28, 2014
    • Discretionary RAUM · $314M to $263M
      Mar 26, 2013 to Mar 28, 2014
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    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
    Across the graphs

    B. C. Ziegler And Company is the same institution as 1 record in Real Estate Funds.

    Real Estate Funds1

    Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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