DFX Intelligence

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

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

J•••••• W••••• M••••••••• I••

CRD 106777

MILWAUKEE, WI

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Search this name across graphsid dfx:ria:094e51b5-a74c-f716-ca3b-f9c6b48b6d64

Data as of Jun 26, 2017 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:18 PM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 0
On other graphs: 0
Observed: Jan 20, 2012 to Jun 26, 2017
17 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $791M••• Locked
Discretionary RAUM: $691M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 14
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••• P••••• J•	DIRECTOR, CHAIRMAN, CHIEF EXECUTIVE OFFICER	Na	yes	10/2014	Jan 20, 2012	Jun 26, 2017
J••••••• R••••••• G••••••	DIRECTOR, CHAIRMAN EMERITUS, TREASURER	E	yes	10/2014	Jan 20, 2012	Jun 26, 2017

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
J•• R••• E•••••• I•••	n/a	n/a	n/a	Y	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Wayzata	Mn	United States	n/a	no
n/a	n/a	n/a	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016	Mar 7, 2017

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$791M	$836M	-5.3%	$844M	-2.1%	14	16	n/a	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C••• C••••••• L••	4	Nov 30, 2017	Dec 5, 2017	MILWAUKEE, WI	Firm absorbed	Other	100.0%

Relationships

Controls (6)

← J••••••• R••••••• G••••••OwnerDIRECTOR, CHAIRMAN EMERITUS, TREASURER, ownership code E, individual
Jan 20, 2012 to presentfactForm ADV
← W•••••• N•••••••• C••••••OwnerDIRECTOR, MANAGING DIRECTOR, ownership code NA, individual
Jan 20, 2012 to presentfactForm ADV
← W••••• B••••••• J••••••OwnerDIRECTOR, SECRETARY, ownership code NA, individual
Jan 20, 2012 to presentfactForm ADV
← L•••••••• R•••••• R••••••OwnerCHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR, ownership code NA, individual
Jan 20, 2012 to present

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:094e51b5-a74c-f716-ca3b-f9c6b48b6d64
First observed: Jan 20, 2012
Last observed: Jun 26, 2017 112 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.