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CRD 298165
APPLETON, 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 |
|---|---|---|---|---|---|---|
| J••• T••••• B••••••• | Certified Financial Planner | APPLETON, WI | 8 | 18 | 4 | no |
| M••• D•••• T•••••••• | n/a | APPLETON, WI | 8 | 15 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| B•••••••• J•••• T••••• | MEMBER / DIRECTOR OF INVESTMENTS / CHIEF COMPLIANCE OFFICER | Na | yes | 07/2018 | Aug 6, 2018 | Dec 24, 2024 |
| D••••• C••••••••• J•••• | MANAGING MEMBER / WEALTH MANAGEMENT ADVISOR | D | yes | 07/2018 | Aug 6, 2018 | Dec 24, 2024 |
| 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 |
|---|---|---|---|---|---|---|---|---|
| 0 | 0 | 0 | 0.0% | 0 | 0 | 0 | 3 | 3 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $603M | $443M | 36.2% | $304M | 25.7% | 18 | 14 | 0 | 0 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| T••••••• I••••••••• M••••••••• I••• | 2 | Sep 6, 2023 | Jan 1, 2025 | NEW LONDON, WI | Team lift out | Ibd to RIA | 0.1% |
| N••••••••• M••••• I••••••••• S••••••••• | 4 | Sep 6, 2018 |
| no |
| W•••••• D• F••••• | n/a | APPLETON, WI | 5 | 36 | 3 | no |
| C•••••• L••• S•••••• | n/a | APPLETON, WI | 3 | 19 | 2 | no |
| C•••••••• J•••• D•••• | n/a | APPLETON, WI | 2 | 19 | 1 | no |
| M••• A•••••• N••••••• | n/a | APPLETON, WI | 1 | 19 | n/a | no |
| D•••• R••••• J••••• | Certified Financial Planner | APPLETON, WI | 1 | 19 | 1 | no |
| K••• P•••••• | n/a | APPLETON, WI | 1 | 10 | n/a | no |
| C•••• P•••• K•••••• | Certified Financial Planner | APPLETON, WI | 1 | 40 | 2 | no |
| W•••••• S•••••• K•••••• | n/a | APPLETON, WI | 0 | 10 | n/a | no |
| T••••••••• M•••• D•••• | MEMBER / WEALTH MANAGEMENT ADVISOR | B | yes | 01/2020 | Mar 16, 2020 | Dec 24, 2024 |
| J•••••• D••••• R••••• | MEMBER / WEALTH ADVISOR | B | no | 07/2024 | Jul 30, 2024 | Dec 24, 2024 |
| $603M |
| $594M |
| 18 |
| 10 |
| 0 |
| n/a |
| n/a |
| 2024 | Apr 17, 2025 | $443M | $428M | 14 | 10 | 0 | n/a | n/a |
| 2023 | Feb 9, 2024 | $410M | $399M | 16 | 8 | 0 | n/a | n/a |
| 2022 | Feb 8, 2023 | $304M | $296M | 12 | 7 | 0 | n/a | n/a |
| 2021 | Mar 2, 2022 | $315M | $314M | 14 | 7 | 0 | n/a | n/a |
| 2020 | Feb 26, 2021 | $226M | $226M | 9 | 4 | 0 | n/a | n/a |
| 2019 | Mar 16, 2020 | $173M | $173M | 9 | 4 | 0 | n/a | n/a |
| 2018 | Mar 8, 2019 | $115M | $115M | 10 | 5 | 0 | n/a | n/a |
| APPLETON, WI |
| Team lift out |
| Other |
| 0.3% |