DFX Intelligence

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

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 100m 1b

G••••• V•••• I••••••••• C•••••••••

CRD 144260

MILWAUKEE, WI

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Data as of Jul 23, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 9:44 AM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 4
On other graphs: 0
Observed: Mar 1, 2012 to Jul 23, 2026
36 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: independent wealth managerderived••• Locked
Regulatory AUM: $226M••• Locked
Discretionary RAUM: $224M
Private client RAUM: $193Mderived••• Locked
Private client share: 86%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $56.4Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
T••••• M•••••• M••••••	n/a	Waterford, WI \| MILWAUKEE, WI	10	14	1	no
J•••••• R•••••• G•••••	n/a	Charleston, SC \| MILWAUKEE, WI	10	38

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
G•• 2••••• L•	Hedge Fund	$347,719	Jul 23, 2026	10	Aug 26, 2021	reported	n/a

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G•••••• J••••• P•••••	CHIEF EXECUTIVE OFFICER	A	yes	05/2024	Mar 31, 2021	Nov 22, 2024
G•••••• J••••••• R••••••	CHAIRMAN OF THE BOARD, OWNER	C	yes	08/2007	Mar 1, 2012	Nov 22, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
G•• 2••••• L•••••	n/a	n/a	n/a	Y	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Telangana	n/a	India	2	no
Princeton	Nj	United States	1	no
n/a	n/a	n/a	1	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	0	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	$226M	$194M	16.1%	$138M	17.7%	11	10	5	5

Relationships

Advises (1)

→ G•• 2••••• L•Private fundHedge Fund, IA
Aug 26, 2021 to presentfactForm ADV

Registered with (6)

← M•••••• J••• M•••••••Advisorregistration: current employment
Jan 1, 2023 to presentfactForm ADV
← J•••• P••••• G•••••Advisorregistration: current employment
May 12, 2017 to presentfactForm ADV
←

Dated events

Order

Occurred
23 Jul 2026
Ria office closed
••• Locked
Form ADV
Occurred
15 Mar 2024
Control person joined
••• Locked
Form ADV
Occurred
6 Mar 2023
Advisor changed firm
••• Locked
Form ADV
Occurred
31 Mar 2021
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 1, 2012
Last observed: Jul 23, 2026 2 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.