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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

N••••••• C• I••

CRD 108347

MILWAUKEE, WI

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Search this name across graphsid dfx:ria:2ac5ecde-c761-9624-64e5-5796a9ad0f30

Data as of Jan 23, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 1
On other graphs: 0
Observed: Jan 30, 2012 to Jan 23, 2026
20 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: asset managerderivedprivate_client_share=0.0 fund_share=0.99 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0
Regulatory AUM: $6.1BItem 5.F on the latest filing (2026-01-23); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $6.1B
Private client RAUM: $8.2MderivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
L••••••• J••• P••••••	Chartered Financial Analyst	MILWAUKEE, WI	9	32	2	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
K•••••• J•••••••• R••••••	CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT, TREASURER	Na	yes	07/2004	Jan 30, 2012	Jan 24, 2024
L••••• D••••• J•••	Director	Na	yes	04/2007	Jan 30, 2012

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

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

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

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	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$6.1B	$6.3B	-3.9%	$4.9B	7.6%	16	17	0	0

Relationships

Registered with (2)

← L••••••• J••• P••••••Advisorregistration: current employment
Jan 27, 2017 to presentfactForm ADV
← PATRICK JOSEPH TOBINAdvisorregistration: previous registration
Jan 2, 2019 to Nov 16, 2020factForm ADV

Controls (6)

← P••••••• L•••••••• J•••OwnerCHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT, SECRETARY, ownership code NA, individual
Jan 30, 2012 to Jan 24, 2024factForm ADV
←

Dated events

Occurred
Jan 28, 2022
Regulatory AUM changed
N••••••• C• I•• reported RAUM $6.2B, up 30% from $4.7B (2021-01-29 to 2022-01-28)
Form ADVobserved 6 days ago
$1.4B

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2ac5ecde-c761-9624-64e5-5796a9ad0f30
First observed: Jan 30, 2012
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.