DFX Intelligence

F•••••••• S••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM 100m 1b

F•••••••• S••••••••• L••

CRD 110149

WAUKESHA, WI

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Data as of Mar 9, 2023 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 11
On other graphs: 1
Observed: Jan 4, 2016 to Mar 9, 2023
34 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

F•••••••• S••••••••• L••

Investment consultant · same CRD

Facts

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $852M••• Locked
Discretionary RAUM: $638M
Private client RAUM: $651Mderived••• Locked
Private client share: 76%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 12

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M••••••• T••••••• D•••••	MANAGING MEMBER	C	yes	02/2016	Jan 4, 2016	Mar 9, 2023
S•••••••• K••••••• R•••••	Member	C	yes	01/2013	Jan 4, 2016	Mar 9, 2023

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M••• I•••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NORTH BARRINGTON	IL	United States	2	no
NEW BERLIN	Wi	United States	2	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2022

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2022	$852M	$953M	-10.6%	$651M	9.4%	12	13	2	2

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
W•••• I••••••••• A•••••••• L••	6	Oct 9, 2023	Oct 19, 2023	WAUKESHA, WI	Firm absorbed	Other	85.7%

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
J••• A•••••••• L••	3	Mar 2, 2016	Feb 18, 2016	CHICAGO, IL	Firm absorbed	Other	75.0%

Relationships

Owns (3)

← S••••••••• G•••• J•••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 4, 2016 to presentfactForm ADV
← K•••••• W••••••• J••••OwnerMEMBER, ownership code B, individual
Jan 4, 2016 to presentfactForm ADV
← S••••••••• H•••••OwnerMEMBER, ownership code C, individual
Feb 24, 2016 to presentfactForm ADV

Controls (2)

← M••••••• T••••••• D•••••OwnerMANAGING MEMBER, ownership code C, individual

Dated events

Order

Occurred
9 Oct 2023
Advisor changed firm7 events
F•••••••• S••••••••• L••: advisor changed firm, 7 counterparties, on 9 Oct 2023
- ••• Locked
- ••• Locked
- ••• Locked
Occurred
9 Oct 2023
Firm absorbed
••• Locked
Form ADV
6 advisors
Occurred
19 Mar 2020
Regulatory AUM changed
••• Locked
Form ADV
$159M
Occurred
25 Mar 2018
Regulatory AUM changed
••• Locked
Form ADV
$104M
Occurred
4 Jan 2016
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 4, 2016
Last observed: Mar 9, 2023 43 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.