DFX Intelligence

R••••••• I••••••••• S••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

R••••••• I••••••••• S••••••• L••

CRD 327451

MEQUON, WI

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Search this name across graphsid dfx:ria:7dd0e17b-aff0-3361-7b7a-c1d3adb3a373

Data as of Aug 10, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 3
On other graphs: 0
Observed: Jan 8, 2024 to Aug 10, 2026
19 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=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=14.0
Regulatory AUM: $453M••• Locked
Discretionary RAUM: $453M
Private client RAUM: $446Mderived••• Locked
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 14
RAUM per advisor: $32.4Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
C••••••••• A•••• B•••••	Certified Financial Planner	MEQUON, WI	2	18	n/a	yes
G•••• A••• S••••••	n/a	MEQUON, WI	2	25

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
R•••••••• M••••••• R••••	PRINCIPAL/CEO/CCO	E	yes	09/2006	Jan 8, 2024	Dec 3, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Dubuque	Ia	United States	1	yes

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 23, 2026

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	0	1	0.0%	0	0	0	9	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	$453M	$393M	15.2%	n/a	n/a	22	10	1	1

Relationships

Registered with (14)

← B••••• N••••• G••••••Advisorregistration: current employment
Apr 2, 2026 to presentfactForm ADV
← A•••••••• J•••• M•••••••••Advisorregistration: current employment
Mar 25, 2026 to presentfactForm ADV
← M••• B••••••• K•••••••Advisorregistration: current employment
Sep 30, 2025 to presentfactForm ADV
← A•••••••• S••••• A•••••

Dated events

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

Occurred
Dec 3, 2024
Control person left
A•••• C••••••••• B••••• (Cco) no longer on Schedule A of R••••••• I••••••••• S••••••• L•• (listed 2024-09-05, absent 2024-12-03)
Form ADVobserved 7 days ago
Occurred
Jan 8, 2024
First Form ADV filing
R••••••• I••••••••• S••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Show 1 bookkeeping events

Occurred
Aug 8, 2024
R••••••• I••••••••• S••••••• L•• reported 11 state-registered advisory representatives, down from 22 (2024-07-11 to 2024-08-08)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7dd0e17b-aff0-3361-7b7a-c1d3adb3a373
First observed: Jan 8, 2024
Last observed: Aug 10, 2026 43 days 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.