DFX Intelligence

N••••••• I••••••••• S••••••• O• A••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserinstitutional managerSEC registeredRAUM 10b 100b

N••••••• I••••••••• S••••••• O• A••••••• L••

CRD 307169

MILWAUKEE, WI

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Search this name across graphsid dfx:ria:480014c5-4d8a-c5dd-78f9-f8cece554435

Data as of May 1, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:01 PM UTC and rebuilt at most every 15 minutes.

Relationships: 51
Dated events: 12
On other graphs: 0
Observed: Jan 28, 2020 to May 1, 2026
14 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: institutional managerderivedprivate_client_share=0.0 fund_share=0.03 institutional_share=0.92 related_bd=true related_bank=true bd_reps=0.0
Regulatory AUM: $16B••• Locked
Discretionary RAUM: $16B
Private client RAUM: $33.0Mderived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 13
RAUM per advisor: $1.3Bderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
L•••• M••••••• B•••••	n/a	MILWAUKEE, WI	6	19	1	no
B•••••• A•• S••••••	Chartered Financial Analyst	MILWAUKEE, WI	6	32

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
N•• C••• F•••• I••••• Q• F•••• L••	Other Private Fund	$1.2B	May 20, 2024	26	Mar 29, 2018	reported	021-317821
N•• C••• F•••• I••••• F•••• L••	Other Private Fund	$1.2B

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••• N••••••• K••	CHIEF COMPLIANCE OFFICER	Na	yes	02/2022	Feb 22, 2022	May 20, 2024
A•••••••• M•••• R•••••	CHIEF STRATEGY OFFICER	Na	yes	12/2019	Jan 28, 2020	May 20, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••••••• B••••• A•••••••• I•••	n/a	Other adviser	$60B	N	yes	n/a
S•• I••••••••• M••••••••• L••	n/a	Mixed wealth	$2.6B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Chicago	IL	United States	7	no

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
0	0	0	0.0%	0	0	0	1	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	$16B	$13B	25.9%	$7.9B	27.0%	38	37	1	1

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
N••••••• I••••••••• S•••••••• I••	7	Feb 28, 2020	Jan 1, 2025	MILWAUKEE, WI	Firm absorbed	Other	87.5%

Relationships

Affiliated with (10)

← S•••••• C•••••• M••••••••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ S•• I••••••••• M••••••••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ A••••••• B••••• A•••••••• I•••Registered adviserother investment adviser, bank, common control
factForm ADV
→ S•••••• C•••••• M••••••••• L••Registered adviser

Dated events

Occurred
Mar 12, 2026
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$3.3B
Occurred
Apr 24, 2025
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$3.1B
Occurred
May 20, 2024
Control person joined
••• Locked
Form ADVobserved 7 days ago
Occurred
May 20, 2024
Control person left

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:480014c5-4d8a-c5dd-78f9-f8cece554435
First observed: Jan 28, 2020
Last observed: May 1, 2026 4 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.

Controls (14)

← S•••••• N•••••• E•••••OwnerPRINCIPAL, MANAGING PARTNER, DIRECTOR, ownership code NA, individual
Jan 28, 2020 to May 20, 2024factForm ADV
← A•••••• N••••••• K••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Feb 22, 2022 to May 20, 2024factForm ADV
← B•••••• R•••••• P••••••OwnerCHIEF EXECUTIVE OFFICER, DIRECTOR, ownership code NA, individual
Jan 28, 2020 to May 20, 2024factForm ADV
← A•••••••• M•••• R•••••OwnerCHIEF STRATEGY OFFICER, ownership code NA, individual
Jan 28, 2020 to May 20, 2024factForm ADV
← S••••• G••••••• J•••OwnerDIRECTOR, ownership code NA, individual
May 20, 2024 to May 20, 2024factForm ADV
← B•••••• J••••• C•••••••••OwnerCHIEF INVESTMENT OFFICER, DIRECTOR, ownership code NA, individual
Jan 28, 2020 to May 20, 2024factForm ADV
← H•••••• R••••••• L•••OwnerDIRECTOR, ownership code NA, individual
May 5, 2022 to May 20, 2024factForm ADV
← M•••••••• B•••••••• J•••••OwnerPRINCIPAL, MANAGING PARTNER, DIRECTOR, ownership code NA, individual
Jan 28, 2020 to May 20, 2024factForm ADV
← F••••••• J•••• P•OwnerPRINCIPAL, MANAGING PARTNER, DIRECTOR, ownership code NA, individual
Jan 28, 2020 to May 20, 2024factForm ADV
← V•• L•••• S••••• O••••OwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Jan 28, 2020 to May 20, 2024factForm ADV
← N•• H•••••• C•••••••••OwnerDIRECT OWNER, ownership code C, domestic entity
Jan 28, 2020 to May 20, 2024factForm ADV
← R••••••• A••••••••• I•••OwnerSHAREHOLDER, ownership code E, domestic entity
Jan 28, 2020 to May 20, 2024factForm ADV
← R••••••• I••••••••• M•••••••• I•••OwnerDIRECT OWNER, ownership code D, domestic entity
Jan 28, 2020 to May 20, 2024factForm ADV
← R••••••• T••••• I•••OwnerSHAREHOLDER, ownership code E, domestic entity
Jan 28, 2020 to May 20, 2024factForm ADV