DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

A•••••••• P•••• I•••

CRD 170669

APPLETON, 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:58cc6031-886b-b09d-14f9-82d99d7ee27d

Data as of Sep 7, 2022 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 47
Dated events: 18
On other graphs: 1
Observed: Oct 9, 2014 to Sep 7, 2022
29 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

A•••••••• P•••• I•••

Investment consultant · shared crd

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: $1.3B••• Locked
Discretionary RAUM: $1.2B
Private client RAUM: $1.1Bderived••• Locked
Private client share: 87%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 32

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••• J•••• A••	CHIEF COMPLIANCE OFFICER	Na	yes	01/2022	Feb 21, 2022	Sep 7, 2022
W•••• D••••• H•••••••	Owner	C	yes	01/2022	Feb 21, 2022	Sep 7, 2022

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
VAN WERT	Oh	United States	5	no
Morris	Mn	United States	2	no
Madison	Wi	United States	2	no
Rifle	Co	United States	1	yes
Glastonbury	Ct	United States

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2021	$1.3B	$1.1B	21.8%	$664M	25.2%	32	31	18	15

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
G•••••• W••••• P•••••••• L••	2	Oct 25, 2022	Oct 6, 2022	GLASTONBURY, CT	Team lift out	RIA to new firm	6.1%
G•••••• W••••• P•••••••• L••	4	Oct 25, 2022	Oct 6, 2022

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
L•• F•••••••• L••	2	Oct 3, 2023	Oct 29, 2014	FORT WAYNE, IN	Team lift out	Ibd to RIA	0.0%

Relationships

Controls (2)

← W•••• D••••• H•••••••OwnerOWNER, ownership code C, individual
Feb 21, 2022 to presentfactForm ADV
← B•••••• J•••• A••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Feb 21, 2022 to presentfactForm ADV

Owns (1)

← H•••• E•••• D•••OwnerOWNER, FINANCIAL ADVISOR AND PRESIDENT, ownership code C, individual
Mar 23, 2018 to presentfactForm ADV

Registered with (42)

← I•••• M•••• V•••••••••

Dated events

Occurred
Oct 3, 2023
Team lift-out
••• Locked
Form ADVobserved 7 days ago
2 advisors
Occurred
Oct 25, 2022
Team lift-out
••• Locked
Form ADVobserved 7 days ago
6 advisors
Occurred
Oct 25, 2022
Team lift-out
••• Locked
Form ADVobserved 6 days ago
2 advisors
Occurred
Oct 25, 2022
Advisor changed firm

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:58cc6031-886b-b09d-14f9-82d99d7ee27d
First observed: Oct 9, 2014
Last observed: Sep 7, 2022 49 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.