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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM under $100M

W••••• C••••••• I•••

CRD 130016

WAUSAU, WI

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Search this name across graphsid dfx:ria:4694440e-6b8c-33fb-4c8b-8115729f3a30

Data as of Mar 12, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 7
On other graphs: 0
Observed: Feb 1, 2024 to Mar 12, 2026
4 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: $75.1MItem 5.F on the latest filing (2026-03-12); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $75.1M
Private client RAUM: $74.4MderivedItem 5.D individuals plus high net worth individuals
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

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
W•••••• K••••• R••••••	PRESIDENT/CHIEF COMPLIANCE OFFICER	E	yes	04/2013	Feb 1, 2024	Apr 10, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•••••••• R••••••••• S•••••••• L••	n/a	n/a	n/a	N	yes	n/a
O• I••••••••• M••••••••• C•	n/a	n/a	n/a	N	no	n/a
T•• O••• E••••• S•••• C••••••

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
2025

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	4	-4	n/a	0	0	0	0	4

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	$75.1M	$152M	-50.7%	n/a	n/a	4	4	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
O• I••••••••• M••••••••• C•	3	May 18, 2026	Oct 2, 2025	WAUSAU, WI	Firm absorbed	RIA to ibd	75.0%

Relationships

Registered with (7)

← K•••• R•••••• W•••••Advisorregistration: previous registration
Mar 2, 2004 to Jun 1, 2026factForm ADV
← Jake WhalenAdvisorregistration: previous registration
Dec 8, 2021 to Jun 1, 2026factForm ADV
← Jared William Elijah KiepkeAdvisorregistration: previous registration
Feb 16, 2022 to Jun 1, 2026factForm ADV
← VIRGINIA RENEE VANDERWAAL

Dated events

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

Occurred
Jun 1, 2026
Advisor changed firm
Jared William Elijah Kiepke left W••••• C••••••• I••• for O• I••••••••• M••••••••• C• (registered 2025-10-02)
Form ADVobserved 7 days ago
Occurred
Jun 1, 2026
Advisor changed firm
Jake Whalen left W••••• C••••••• I••• for O• I••••••••• M••••••••• C• (registered 2024-04-24)
Form ADVobserved 7 days ago
Occurred
Jun 1, 2026
Advisor changed firm
Kerry Richard Whalen left W••••• C••••••• I••• for Steele Capital Management, Inc. (registered 2004-03-03)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4694440e-6b8c-33fb-4c8b-8115729f3a30
First observed: Feb 1, 2024
Last observed: Mar 12, 2026 6 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.