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F•••••••• W••••• M••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

F•••••••• W••••• M••••••••• L••

CRD 140281

MADISON, WI

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:57d1cb11-bf3b-1086-d29b-289406d5c11a

Data as of Jun 30, 2020 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Feb 29, 2012 to Jun 30, 2020
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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $236MItem 5.F on the latest filing (2020-06-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $236M
Private client RAUM: $236MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%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
H•••••• D•••••• P•••••	PRESIDENT AND CHIEF COMPLIANCE OFFICER	E	yes	01/2006	Feb 29, 2012	Jun 30, 2020

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

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
2019	$236M	$177M	33.3%	$218M	2.7%	3	3	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
W••••• E••••••••• A••••••• S•••••••• L••	2	Dec 31, 2020	Jan 4, 2021	MADISON, WI	Team lift out	RIA to ibd	100.0%

Relationships

Controls (1)

← H•••••• D•••••• P•••••OwnerPRESIDENT AND CHIEF COMPLIANCE OFFICER, ownership code E, individual
Feb 29, 2012 to presentfactForm ADV

Moved with (1)

→ W••••• E••••••••• A••••••• S•••••••• L••Registered adviser2 advisors, team lift out, same day
Dec 31, 2020 to Jan 4, 2021factForm ADV

Registered with (2)

← D••••• P••••• H•••••Advisorregistration: previous registration
Jun 29, 2006 to Dec 31, 2020factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:57d1cb11-bf3b-1086-d29b-289406d5c11a
First observed: Feb 29, 2012
Last observed: Jun 30, 2020 75 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.