DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

N••••••• C•••••• M••••••••• L••

CRD 104975

MADISON, WI

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Search this name across graphsid dfx:ria:85e6ce9f-2926-f194-2274-d796c1096f5d

Data as of Mar 26, 2018 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 1
On other graphs: 0
Observed: Mar 26, 2012 to Mar 26, 2018
9 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $544M••• Locked
Discretionary RAUM: $544M
Private client RAUM: $390Mderived••• Locked
Private client share: 72%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H•••• S••••••• L••••	MANAGING PARTNER	A	yes	01/2003	Mar 26, 2012	Mar 26, 2018
M•• P••••••• L••	SHAREHOLDER OF REGISTRANT	E	yes	01/2003	Mar 26, 2012	Mar 26, 2018

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	$544M	$380M	43.3%	$387M	12.0%	7	7	0	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
N••••••••• A•••• M••••••••• L••	2	Feb 21, 2019	Mar 15, 2019	MADISON, WI	Team lift out	RIA to RIA	100.0%

Relationships

Controls (5)

← P••••• P•••• A•••••OwnerCHIEF COMPLIANCE OFFICER, ownership code C, individual
Mar 26, 2012 to presentfactForm ADV
← M•••••• D•••••• T•••••OwnerMANAGING PARTNER, ownership code C, individual
Mar 26, 2012 to presentfactForm ADV
← H•••• S••••••• L••••OwnerMANAGING PARTNER, ownership code A, individual
Mar 26, 2012 to presentfactForm ADV
← M•• P••••••• L••OwnerSHAREHOLDER OF REGISTRANT, ownership code E, domestic entity
Mar 26, 2012 to presentfact

Dated events

Occurred
Mar 26, 2018
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$164M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:85e6ce9f-2926-f194-2274-d796c1096f5d
First observed: Mar 26, 2012
Last observed: Mar 26, 2018 103 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.