AUM
Employee Count
Main Office
| Discretion | AUM |
|---|---|
| Discretionary | $1.3 |
| Non-Discretionary | $0.0 |
| Total | $1.3 |
| Client | AUM |
|---|---|
| Retail | $1.2 |
| Pooled | $0.0 |
| Institutional | $0.0 |
| Total | $1.3 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 628 | $0.1 |
| Average Individual AUM | $232,673 | |
| HNW | 1,625 | $1.1 |
| Average HNW AUM | $675,018 | |
| Retail Total | 2,253 | $1.2 |
| Average Retail AUM | $551,719 |
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 | $1.3 |
| Retail SMA AUM | $1.2 |
| 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% | $1.3 |
| Other Pools | 0% | $0.0 |
| Cash | 0% | $0.0 |
| Other | 0% | $0.0 |
| Total | 100% | $1.3 |
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 | $1,114.8 | trust company | 105780 |
| NORTHERN TRUST GLOBAL INVESTMENTS LTD | $189.3 | 111900 | |
| 50 SOUTH CAPITAL ADVISORS, LLC | $14.2 | 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 | |||||
|---|---|---|---|---|---|---|---|---|---|
| NARSAI TOMA | CHICAGO | IL | S66|2018-05-10 | ||||||
| LINDA GROSCH | CHICAGO | IL | S63|1987-04-22|S66|2015-04-02 | ||||||
| STEPHEN WILEY | CHICAGO | IL | S66|2015-01-23 | ||||||
| CHRIS GALLIANO | CHICAGO | IL | S63|2000-10-27|S65|2002-05-06|S66|2015-01-28 | ||||||
| MATTHEW CORBITT | CHICAGO | IL | S66|2015-02-05 | ||||||
| JOSEPH ANGILERI | CHICAGO | IL | S66|2015-01-21 | CERTIFIED FINANCIAL PLANNER | |||||
| ROBERT BOROWCZAK | CHICAGO | IL | S66|2015-02-26 | ||||||
| RICHARD PETERSON | CHICAGO | IL | S63|1987-04-21|S66|2015-02-12 | ||||||
| JUSTIN LESLEIN | CHICAGO | IL | S66|2017-02-17 | ||||||
| DAVID PAZDAN | CHICAGO | IL | S63|1994-05-03|S65|2005-10-18 | ||||||
| MARIA TOVAR | CHICAGO | IL | S63|1996-10-11|S66|2015-07-22 | ||||||
| ANDREA ATENCIO | CHICAGO | IL | S66|2016-04-25 | ||||||
| FAIZAN ARBY | CHICAGO | IL | S63|2018-03-12|S66|2023-08-24 | ||||||
| MICHAEL BIBBIANO | CHICAGO | IL | S65|2022-08-08|S63|2023-03-03 | ||||||
| MITCHELL THORNTON | CHICAGO | IL | S63|1994-08-19|S65|2001-08-13|S66|2016-07-11 | ||||||
| MATTHEW SCHILLING | CHICAGO | IL | S66|2017-06-27|S63|2017-01-02 | ||||||
| JOHN MCCADD | CHICAGO | IL | S63|2022-06-21|S66|2022-09-17 | ||||||
| JOSEPH HUME | CHICAGO | IL | S66|2022-07-25 | ||||||
| DAVID MILLER | CHICAGO | IL | S63|2023-03-07|S66|2024-02-26 | ||||||
| CESAR PENA | CHICAGO | IL | S63|2001-03-16|S65|2017-06-20 | CERTIFIED FINANCIAL PLANNER | |||||
ADVDB.CO • SOURCE: SEC
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-08-01 | $1.3 | $0.0 | 0% | 76 | 0 | 0% |
| 2025-04-21 | $1.3 | $0.0 | 0% | 76 | 0 | 0% |
| 2024-04-02 | $1.0 | $0.3 | 24% | 75 | 1 | 1% |
| 2023-04-04 | $0.8 | $0.4 | 54% | 72 | 4 | 6% |
| 2022-04-01 | $0.9 | $0.4 | 48% | 72 | 4 | 6% |
| 2021-04-05 | $0.6 | $0.7 | 106% | 68 | 8 | 12% |
| 2020-04-01 | $0.5 | $0.8 | 148% | 75 | 1 | 1% |
| 2019-04-01 | $0.4 | $0.9 | 235% | 88 | -12 | -14% |
| 2018-04-02 | $0.3 | $1.0 | 345% | 78 | -2 | -3% |
| 2017-04-01 | $0.1 | $1.2 | 985% | 77 | -1 | -1% |
| 2016-04-01 | $0.0 | $1.2 | 3315% | 78 | -2 | -3% |
| 2015-04-01 | $0.0 | $0.0 | 0% | 78 | -2 | -3% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
| STATE REGISTRATIONS |
| IL, AK-02/24/2025, AL-02/24/2025, AR-02/24/2025, AZ-01/02/2015, CA-01/02/2015, CO-07/14/2017, CT-06/04/2019, DC-10/15/2020, DE-02/24/2025, FL-01/02/2015, GA-09/07/2017, HI-10/31/2022, IA-02/24/2025, ID-02/24/2025, IL-01/14/2015, IN-07/14/2017, KS-02/24/2025, KY-12/13/2024, 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, MS-02/24/2025, MT-02/24/2025, NC-07/14/2017, ND-02/24/2025, NE-02/24/2025, NH-10/11/2023, NJ-03/23/2018, NM-02/24/2025, NV-09/07/2017, NY-07/14/2017, OH-06/04/2019, OK-03/21/2024, OR-07/05/2019, PA-01/05/2018, RI-02/24/2025, SC-03/12/2021, SD-02/24/2025, TN-07/14/2017, TX-01/02/2015, UT-12/16/2022, VA-07/14/2017, VI-02/24/2025, VT-06/01/2021, WA-07/14/2017, WI-07/14/2017, WV-02/24/2025, WY-02/24/2025 |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (SMB) MANAGER SELECTION |
| OTHER ACTIVITIES |
|
BROKER DEALER COMMODITY TRADING ADVISOR |
ADVDB.CO • SOURCE: SEC FORM ADV