DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

M•••••• P••••••••• P•••••••• L•••

CRD 112995

WAUSAU, 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:7add3588-4255-db19-0ba3-b743b43649e9

Data as of Jul 20, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 63
Dated events: 8
On other graphs: 0
Observed: Mar 26, 2012 to Jul 20, 2026
100 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 managerderivedprivate_client_share=0.96 fund_share=0.01 institutional_share=0.03 related_bd=false related_bank=false bd_reps=2.0
Regulatory AUM: $649M••• Locked
Discretionary RAUM: $649M
Private client RAUM: $626Mderived••• Locked
Private client share: 96%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 17
RAUM per advisor: $38.2Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
D••• J••••••• T• N•••••	Chartered Financial Analyst	WAUSAU, WI	23	26	n/a	no
D••••• J•••• E••••	Certified Financial Planner	WAUSAU, WI	21	22	n/a

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
E••••• D•••••• J••••	SHAREHOLDER AND DIRECTOR	B	yes	09/2008	May 5, 2014	Nov 18, 2024
O••••••• J••••••• C••••••	PRESIDENT, COO, SECRETARY, SHAREHOLDER AND DIRECTOR	Na	yes	01/2023	Mar 7, 2023	Nov 18, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M••• F••••••••	n/a	n/a	n/a	Y	yes	n/a
M••• I••••••••	n/a	n/a	n/a	Y	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Duluth	Mn	United States	5	yes
CRYSTAL LAKE	IL	United States	2	yes
GRAND RAPIDS	Mn	United States	1	no

Regulatory AUM by fiscal year

••• Locked

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

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	1	-1	5.9%	0	0	0	4	3

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	$649M	$554M	17.1%	$383M	19.3%	29	29	3	3

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
B••••••••• W••••• A•••••••• L••	2	Sep 14, 2015	Aug 31, 2015	WAUSAU, WI	Team lift out	Other	40.0%

Relationships

Registered with (49)

← J••••••• L•• S•••••Advisorregistration: current employment
Jul 24, 2026 to presentfactForm ADV
← E••• M•••••• C••••Advisorregistration: current employment
May 13, 2026 to presentfactForm ADV
← B••••• J••• C••••Advisorregistration: current employment
Dec 12, 2025 to presentfactForm ADV
← L••• T••••• E•••

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Oct 8, 2025
Advisor changed firm
Jonathan Patrick O'Brien left M•••••• P••••••••• P•••••••• L••• for Ep Wealth Advisors (registered 2025-10-29)
Form ADVobserved 7 days ago
Occurred
Aug 1, 2025
Advisor changed firm
Amanda Marie Unger left M•••••• P••••••••• P•••••••• L••• for Osaic Wealth, Inc. (registered 2025-08-04)
Form ADVobserved 7 days ago
Occurred
Mar 20, 2025
Regulatory AUM changed
M•••••• P••••••••• P•••••••• L••• reported RAUM $554.3M, up 28% from $431.8M (2024-11-18 to 2025-03-20)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7add3588-4255-db19-0ba3-b743b43649e9
First observed: Mar 26, 2012
Last observed: Jul 20, 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.