DFX Intelligence

D••••••••• M••••••••• I••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 1b 10b

D••••••••• M••••••••• I••

CRD 106680

MILWAUKEE, WI

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Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 4:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 2
On other graphs: 0
Observed: Mar 27, 2012 to Mar 30, 2026
33 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderived••• Locked
Regulatory AUM: $1.9B••• Locked
Discretionary RAUM: $1.7B
Private client RAUM: $1.7Bderived••• Locked
Private client share: 94%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 6
RAUM per advisor: $311Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M•••••• P••• S••••••	Certified Financial Planner	SCOTTSDALE, AZ \| MILWAUKEE, WI	25	30	n/a	no
M•••••• P•••••• E•••	Certified Financial Planner	MILWAUKEE, WI	22	29

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••• G•••••• L••••••	VICE PRESIDENT & CHIEF INFORMATION OFFICER	B	yes	03/2017	Mar 30, 2026	Mar 30, 2026
E•••• M••••••• P••••••	MANAGING DIRECTOR AND CHIEF INVESTMENT OFFICER	B	yes	03/2017	Mar 30, 2026	Mar 30, 2026

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Scottsdale	Az	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	1	1

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$1.9B	$1.7B	10.3%	$1.4B	9.1%	8	8	1	1

Relationships

Controls (4)

← A•••• G•••••• L••••••OwnerVICE PRESIDENT & CHIEF INFORMATION OFFICER, ownership code B, individual
Mar 30, 2026 to presentfactForm ADV
← T••••••• C•••• A•••••OwnerCHIEF FINANCIAL OFFICER, ownership code B, individual
Mar 30, 2026 to presentfactForm ADV
← E•••• M••••••• P••••••OwnerMANAGING DIRECTOR AND CHIEF INVESTMENT OFFICER, ownership code B, individual
Mar 30, 2026 to presentfactForm ADV
← S••••••• M••••••• P•••OwnerCHAIRMAN, PRESIDENT AND CHIEF COMPLIANCE OFFICER, ownership code C, individual
Mar 27, 2012 to May 3, 2024

Dated events

1 bookkeeping event (roster, classification and holdings changes) folded below

Order

Occurred
28 Apr 2024
Advisor changed firm
••• Locked
Form ADV

Show 1 bookkeeping event

Occurred
Mar 30, 2026
••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 27, 2012
Last observed: Mar 30, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

All 15 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 21, 2016	$831M	$728M	8	6	n/a	n/a	n/a
2014	Mar 26, 2015	$843M	$735M	8	7	n/a	n/a	n/a
2013	Mar 19, 2014	$798M	$707M	8	7	n/a	n/a	n/a
2012	Mar 19, 2013	$661M	$530M	8	7	n/a	n/a	n/a
2011	Mar 27, 2012	$607M	$447M	n/a	n/a	n/a	n/a	n/a