AUM
Employee Count
Main Office
| Discretion | AUM |
|---|---|
| Discretionary | $1.0 |
| Non-Discretionary | $0.0 |
| Total | $1.0 |
| Client | AUM |
|---|---|
| Retail | $1.0 |
| Pooled | $0.0 |
| Institutional | $0.0 |
| Total | $1.0 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 618 | $0.1 |
| Average Individual AUM | $220,526 | |
| HNW | 1,458 | $0.9 |
| Average HNW AUM | $590,839 | |
| Retail Total | 2,076 | $1.0 |
| Average Retail AUM | $480,602 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
| Custodian | Location | AUM |
|---|
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $1.0 |
| Retail SMA AUM | $1.0 |
| Institutional SMA AUM | $0.0 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 0% | $0.0 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 0% | $0.0 |
| Municipal | 0% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 0% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 100% | $1.0 |
| Other Pools | 0% | $0.0 |
| Cash | 0% | $0.0 |
| Other | 0% | $0.0 |
| Total | 100% | $1.0 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| NORTHERN TRUST INVESTMENTS, INCORPORATED | $1,016.6 | trust company | 105780 |
| NORTHERN TRUST GLOBAL INVESTMENTS LTD | $160.1 | 111900 | |
| 50 SOUTH CAPITAL ADVISORS, LLC | $12.0 | 174762 | |
| NORTHERN TRUST GLOBAL INVESTMENTS JAPAN, K.K. | $0.0 | - | |
| THE NORTHERN TRUST COMPANY | $0.0 | trust company | - |
| NORTHERN TRUST SECURITIES, LLP | $0.0 | broker-dealer | - |
| THE NORTHERN TRUST COMPANY OF HONG KONG LIMITED | $0.0 | - | |
| NORTHERN TRUST FUND MANAGERS (IRELAND) LIMITED | $0.0 | - | |
| NORTHERN TRUST SECURITIES AUSTRALIA PTY LTD | $0.0 | broker-dealer | - |
| NT GLOBAL ADVISORS, INC. | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
13 active
| Name | Title |
|---|---|
| GRIEWAHN, DEBRA ANN | CHIEF COMPLIANCE OFFICER |
| LOGAN, LYLE | DIRECTOR |
| ELLIS, KATHERINE THERESE | DIRECTOR |
| THORNTON, MITCHELL BLAIR | DIRECTOR |
| BLOWERS, DAVID CHARLES | DIRECTOR |
| TARDY, ROBIN LISA | DIRECTOR |
| CHERRY, JON VINCENT | PRESIDENT |
| BURNS, RYAN DOUGLAS | DIRECTOR |
| CARBERRY, CRAIG RICHARD | SECRETARY |
| MISSIL, KRISTIN ANNE | CHIEF FINANCIAL OFFICER |
| PICKETT, MELANIE ZAIRIS | DIRECTOR |
| GOFORTH, STEPHANIE ECKERT | DIRECTOR |
ADVDB.CO • SOURCE: SEC
86 active representatives found, showing 20 random
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| TRISHA VERGEIRE | CHICAGO | IL | S63|2021-09-28|S66|2023-03-31 | ||||||
| DEBRA GRIEWAHN | CHICAGO | IL | S63|1992-06-27|S66|2015-03-30 | ||||||
| ASHLEY SETTER | CHICAGO | IL | S66|2022-10-01 | ||||||
| ADAM SALTZMAN | CHICAGO | IL | S63|2000-09-22 | CERTIFIED FINANCIAL PLANNER | |||||
| MATTHEW CORBITT | CHICAGO | IL | S66|2015-02-05 | ||||||
| BARBARA LUIS | CHICAGO | IL | S63|1994-06-30|S66|2015-03-12 | ||||||
| KENNETH GUTTENTAG | CHICAGO | IL | S63|1996-10-25|S66|2015-01-28 | ||||||
| KIMBERLY UNDERWOOD | CHICAGO | IL | S66|2015-01-28|S63|2001-05-22 | ||||||
| KYLE WALTERS | CHICAGO | IL | S66|2015-12-01 | ||||||
| GEORGE HURLEY | CHICAGO | IL | S66|2017-10-27 | CERTIFIED FINANCIAL PLANNER | |||||
| JOSEPH ANGILERI | CHICAGO | IL | S66|2015-01-21 | CERTIFIED FINANCIAL PLANNER | |||||
| CHRIS GALLIANO | CHICAGO | IL | S63|2000-10-27|S65|2002-05-06|S66|2015-01-28 | ||||||
| ANDERSON ARIZA | CHICAGO | IL | S63|2003-01-20|S66|2015-04-07 | ||||||
| GEORGE ALKHOURY | CHICAGO | IL | S63|2009-05-15|S66|2011-10-10 | ||||||
| GEORGE DERNULC | CHICAGO | IL | S63|2003-04-28|S66|2015-05-18 | ||||||
| TRAVIS BENNETT | CHICAGO | IL | S66|2024-03-08 | ||||||
| DAVID LEONARD | CHICAGO | IL | S63|1997-04-02|S65|1997-04-03|S66|2015-02-06 | ||||||
| ANDREA ATENCIO | CHICAGO | IL | S66|2016-04-25 | ||||||
| VINCENT TUNSTALL | CHICAGO | IL | S63|1999-08-27|S65|2002-05-24|S66|2015-04-07 | ||||||
| ALEXANDRA FURLONG | CHICAGO | IL | S66|2014-09-11 | ||||||
ADVDB.CO • SOURCE: SEC
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2024-10-01 | $1.0 | $0.0 | 0% | 75 | 0 | 0% |
| 2024-04-02 | $1.0 | $0.0 | 0% | 75 | 0 | 0% |
| 2023-04-04 | $0.8 | $0.2 | 24% | 72 | 3 | 4% |
| 2022-04-01 | $0.9 | $0.2 | 19% | 72 | 3 | 4% |
| 2021-04-05 | $0.6 | $0.4 | 66% | 68 | 7 | 10% |
| 2020-04-01 | $0.5 | $0.5 | 100% | 75 | 0 | 0% |
| 2019-04-01 | $0.4 | $0.6 | 169% | 88 | -13 | -15% |
| 2018-04-02 | $0.3 | $0.7 | 258% | 78 | -3 | -4% |
| 2017-04-01 | $0.1 | $0.9 | 772% | 77 | -2 | -3% |
| 2016-04-01 | $0.0 | $1.0 | 2645% | 78 | -3 | -4% |
| 2015-04-01 | $0.0 | $0.0 | 0% | 78 | -3 | -4% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
| STATE REGISTRATIONS |
| IL, AZ-01/02/2015, CA-01/02/2015, CO-07/14/2017, CT-06/04/2019, DC-10/15/2020, FL-01/02/2015, GA-09/07/2017, HI-10/31/2022, IA-06/30/2023, IL-01/14/2015, IN-07/14/2017, LA-02/08/2021, MA-07/14/2017, MD-08/02/2017, ME-06/30/2023, MI-07/14/2017, MN-10/05/2021, MO-06/02/2022, NC-07/14/2017, NH-10/11/2023, NJ-03/23/2018, NV-09/07/2017, NY-07/14/2017, OH-06/04/2019, OK-03/21/2024, OR-07/05/2019, PA-01/05/2018, SC-03/12/2021, TN-07/14/2017, TX-01/02/2015, UT-12/16/2022, VA-07/14/2017, VT-06/01/2021, WA-07/14/2017, WI-07/14/2017 |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) MANAGER SELECTION |
| OTHER ACTIVITIES |
|
BROKER DEALER COMMODITY TRADING ADVISOR |
ADVDB.CO • SOURCE: SEC FORM ADV