AUM
Employee Count
Main Office
| Discretion | AUM |
|---|---|
| Discretionary | $0.0 |
| Non-Discretionary | $0.0 |
| Total | $0.0 |
| Client | AUM |
|---|---|
| Retail | $0.0 |
| Pooled | $0.0 |
| Institutional | $0.0 |
| Total | $0.0 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 58 | $0.0 |
| Average Individual AUM | $315,559 | |
| HNW | 19 | $0.0 |
| Average HNW AUM | $1,406,029 | |
| Retail Total | 77 | $0.0 |
| Average Retail AUM | $584,636 |
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 | $0.0 |
| Retail SMA AUM | $0.0 |
| Institutional SMA AUM | $0.0 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 35% | $0.0 |
| Equity Non-Exch | 1% | $0.0 |
| Govt Agency | 8% | $0.0 |
| Municipal | 1% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 1% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 20% | $0.0 |
| Investment Companies | 0% | $0.0 |
| Other Pools | 16% | $0.0 |
| Cash | 17% | $0.0 |
| Other | 1% | $0.0 |
| Total | 100% | $0.0 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| BLACKRIDGE ASSET MANAGEMENT, LLC | $0.2 | 277085 | |
| TRUEDGE ASSET MANAGEMENT LLC | $0.0 | 323442 | |
| I(X) SECURITIES, LLC | $0.0 | broker-dealer | 158821 |
| GREAT POINT CAPITAL LLC | $0.0 | broker-dealer | 114203 |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
7 active
| Name | Title |
|---|---|
| KARNOWSKI, PETER, HENRY | OFFICER |
| NEPPEL, JOHN, PAUL | OFFICER |
| HERRMANN, ARTHUR, EDWARD | MANAGING MEMBER |
| MOORE, JOHN, CHRISTIAN | MANAGING MEMBER |
| CUMMINS, VALERIE | MANAGING DIRECTOR OF RIA OPERATIONS |
| FRAME, JONATHAN | CHIEF COMPLIANCE OFFICER |
ADVDB.CO • SOURCE: SEC
20 active representatives found
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| JEFFREY GARCIA | CHICAGO | IL | S66|2004-10-21 | ||||||
| REED HAIMSON | CHICAGO | IL | S66|2008-07-25|S63|2016-11-10 | CERTIFIED FINANCIAL PLANNER | |||||
| PHILLIP PARKER | CHICAGO | IL | S63|1986-09-15|S65|1992-08-06 | ||||||
| DANIEL BRAMSCHREIBER | CHICAGO | IL | S63|1997-05-27|S65|2004-01-27 | ||||||
| CHRISTOPHER BURNS | CHICAGO | IL | S65|2023-05-24|S63|2023-08-25 | ||||||
| DANIEL WILLIAMS | CHICAGO | IL | S66|2007-03-22 | ||||||
| JAMES RICHARD | CHICAGO | IL | S66|2002-07-03 | ||||||
| MATTHEW HADLEY | CHICAGO | IL | S63|2024-04-09 | CERTIFIED FINANCIAL PLANNER | |||||
| DON LINZER | CHICAGO | IL | S66|2001-08-24 | CERTIFIED FINANCIAL PLANNER | |||||
| KARL SUESS | CHICAGO | IL | S66|2016-05-04 | ||||||
| JONATHAN FRAME | CHICAGO | IL | S63|1999-02-19|S66|2001-02-09 | ||||||
| PETER KARNOWSKI | CHICAGO | IL | S66|2005-07-29 | ||||||
| CHARLES KERKER | CHICAGO | IL | S63|1985-01-05|S65|2023-05-11 | ||||||
| JAMES BEAUDOIN | CHICAGO | IL | S63|1998-02-26|S66|2004-08-26 | ||||||
| JOHN FERRICK | CHICAGO | IL | S63|2006-10-24|S65|2010-12-14 | ||||||
| SCOTT CARL | CHICAGO | IL | S65|2012-09-14|S66|2007-11-13|S63|2018-05-01 | CERTIFIED FINANCIAL PLANNER | |||||
| JAMES LYNCH | CHICAGO | IL | S65|1994-08-25|S63|2018-03-29 | ||||||
| JODY GUNDERSON | CHICAGO | IL | S66|2008-01-04 | ||||||
| PAUL HOGENSON | CHICAGO | IL | S63|2022-07-12|S66|2023-01-13 | ||||||
| KEEGAN DE SILVA | CHICAGO | IL | S66|2020-06-08 | ||||||
ADVDB.CO • SOURCE: SEC
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-08-01 | $0.0 | $0.0 | 0% | 22 | 0 | 0% |
| 2025-04-21 | $0.0 | $0.0 | 0% | 22 | 0 | 0% |
| 2024-04-02 | $0.0 | $0.0 | 209% | 22 | 0 | 0% |
| 2023-04-04 | $0.0 | $0.0 | 126% | 17 | 5 | 29% |
| 2022-04-01 | $0.0 | $0.0 | 502% | 17 | 5 | 29% |
| 2021-04-05 | $0.1 | -$0.1 | -58% | 13 | 9 | 69% |
| 2020-04-01 | $0.0 | $0.0 | 0% | 3 | 19 | 633% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
| STATE REGISTRATIONS |
| IL, AL-01/07/2022, AZ-03/25/2024, CA-01/31/2022, CO-05/21/2020, FL-01/07/2022, IL-04/15/2020, IN-01/07/2022, KS-03/27/2025, KY-12/23/2024, MA-03/23/2022, MI-01/31/2022, MN-01/31/2022, MO-01/31/2022, NC-01/07/2022, NJ-02/08/2022, NV-01/31/2022, NY-01/31/2022, OH-01/07/2022, PA-04/15/2024, TX-01/07/2022, UT-10/29/2024, WI-01/31/2022 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT MANAGER SELECTION |
| OTHER ACTIVITIES |
|
BROKER DEALER INSURANCE AGENT |
ADVDB.CO • SOURCE: SEC FORM ADV