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CRD 160109
VERONA, WI
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| C•••••• T••••• W•••••• | n/a | VERONA, WI | 14 | 25 | 2 | no |
| N••••• M•••••• C••••• | n/a | VERONA, WI | 14 | 20 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| C•••••• N•••••• M•••••• | MANAGING MEMBER | C | yes | 01/2012 | Jun 1, 2026 | Jun 1, 2026 |
| W••••••• C••••••• T••••• | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | C | yes | 01/2012 | Jun 1, 2026 | Jun 1, 2026 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Madison | Wi | United States | 4 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 1 | 0 | 1 | 0.0% | 0 | 0 | 0 | 4 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $1.0B | $733M | 40.7% | $487M | 28.4% | 18 | 13 | 1 | 1 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| T••• F•••••••• A••••••• | 2 | Sep 30, 2020 | Sep 4, 2020 | MADISON, WI | Team lift out | RIA to RIA | 20.0% |
| no |
| M••••••• T• D••••• | Certified Financial Planner | VERONA, WI | 8 | 10 | 1 | no |
| K•••• A••• P••••••• | n/a | VERONA, WI | 7 | 12 | 2 | no |
| R•••••• S•••••• F••••• | Certified Financial Planner | VERONA, WI | 6 | 22 | 3 | no |
| S•••••• E••••• M••••••• | Chartered Financial Analyst | VERONA, WI | 6 | 12 | 2 | no |
| P•••••• H••••• P•••• | n/a | VERONA, WI | 4 | 11 | n/a | no |
| A••••• N••• V•••• V•• | Certified Financial Planner | VERONA, WI | 3 | 15 | n/a | no |
| M••• J• S••••••••• | n/a | VERONA, WI | 3 | 25 | 2 | no |
| E••• W•••• | Certified Financial Planner | MADISON, WI | VERONA, WI | 2 | 12 | n/a | no |
| A••••• J• K•••• | n/a | MADISON, WI | VERONA, WI | 2 | 12 | 3 | no |
| T••••• M•••• M•••••• | n/a | VERONA, WI | 1 | 12 | n/a | no |
| I•• B•••••••• | n/a | VERONA, WI | 1 | 10 | n/a | no |
| B•••• D••••• S••••••• | n/a | VERONA, WI | 1 | 11 | 1 | no |
| A••••• T•••••• K••• | Certified Financial Planner | VERONA, WI | Verona, WI | 1 | 40 | 1 | no |
| F••••• N•••••• Q••••••••• M••••• | Chartered Financial Analyst | VERONA, WI | 0 | 11 | 1 | no |
| MINORITY OWNER |
| A |
| no |
| 11/2021 |
| Jun 1, 2026 |
| Jun 1, 2026 |
| F•••••• R••••••• S•••••• | MINORITY OWNER | B | no | 11/2021 | Jun 1, 2026 | Jun 1, 2026 |
| M•••••••• S••••••• E••••• | MINORITY OWNER | A | no | 11/2021 | Jun 1, 2026 | Jun 1, 2026 |
| P•••••••• K••••• A••• | MINORITY OWNER | A | no | 11/2021 | Jun 1, 2026 | Jun 1, 2026 |
| $1.0B |
| $969M |
| 18 |
| 16 |
| 2 |
| n/a |
| n/a |
| 2024 | Mar 20, 2025 | $733M | $654M | 13 | 13 | 1 | n/a | n/a |
| 2023 | Jan 19, 2024 | $633M | $571M | 11 | 9 | 1 | n/a | n/a |
| 2022 | Feb 8, 2023 | $487M | $442M | 11 | 9 | 0 | n/a | n/a |
| 2021 | Mar 23, 2022 | $459M | $425M | 9 | 7 | 0 | n/a | n/a |
| 2020 | Mar 11, 2021 | $336M | $297M | 8 | 8 | 0 | n/a | n/a |
| 2019 | Feb 7, 2020 | $137M | $137M | 5 | 5 | 0 | n/a | n/a |
| 2018 | Mar 31, 2019 | $109M | $95.6M | 5 | 5 | 0 | n/a | n/a |