DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

I•••••• P•••••••• L••

CRD 171279

MADISON, WI

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Search this name across graphsid dfx:ria:15afde31-12e0-e1f3-1304-7de5488189d5

Data as of Jan 23, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 1
On other graphs: 0
Observed: Apr 23, 2014 to Jan 23, 2026
47 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 managerderivedprivate_client_share=0.89 fund_share=0.0 institutional_share=0.09 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.4B••• Locked
Discretionary RAUM: $1.4B
Private client RAUM: $1.3Bderived••• Locked
Private client share: 89%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 9
RAUM per advisor: $160Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
V••••• E•••••• R••••••••	n/a	MADISON, WI	12	23	1	no
J••• C••••• M•••••	Certified Financial Planner	MADISON, WI	12	34

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G••••••• F••••• J•••••	CHIEF EQUITY STRATEGIST	C	yes	05/2014	Jan 23, 2026	Jan 23, 2026
H••••••••• D••••• A•	CHIEF INVESTMENT OFFICER	C	yes	05/2014	Jan 23, 2026	Jan 23, 2026

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
2	0	2	0.0%	0	0	0	4	0

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	$1.4B	$1.3B	11.0%	$977M	13.8%	17	16	0	0

Relationships

Registered with (9)

← M••••••• E•••••••• M•••••Advisorregistration: current employment
Apr 13, 2026 to presentfactForm ADV
← E••• A•••• K••••••Advisorregistration: current employment
Feb 12, 2026 to presentfactForm ADV
← R•••••• A• W••••••Advisorregistration: current employment
Jan 1, 2026 to presentfactForm ADV
← F•••• J••••• G••••••

Dated events

Occurred
Apr 23, 2014
First Form ADV filing
Wam, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:15afde31-12e0-e1f3-1304-7de5488189d5
First observed: Apr 23, 2014
Last observed: Jan 23, 2026 8 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.