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

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM under $100M

W••••••• C••••••• L••

CRD 143960

ONALASKA, WI

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Data as of Apr 17, 2012 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 9:37 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Jan 20, 2012 to Apr 17, 2012
5 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: $89.2M••• Locked
Discretionary RAUM: $77.0M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 1,349
SEC number

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L•••••••• L••••••• R••	CHIEF COMPLIANCE OFFICER	Na	yes	10/2011	Jan 20, 2012	Apr 17, 2012
P•••••• K•••••• L••	WEALTH ADVISOR/TEAM LEAD	Na	yes	10/2011	Jan 20, 2012	Apr 17, 2012

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Jan 20, 2012	$89.2M	$77.0M	n/a	n/a	n/a	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$89.2M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
P•••••••• S••••••••• I•••	3	Jun 7, 2016	Jun 21, 2016	WEST SALEM, WI	Firm absorbed	Other	75.0%

Relationships

Controls (3)

← W••••• B••••• J•••OwnerMEMBER, CHIEF EXECUTIVE OFFICER, ownership code E, individual
Jan 20, 2012 to presentfactForm ADV
← P•••••• K•••••• L••OwnerWEALTH ADVISOR/TEAM LEAD, ownership code NA, individual
Jan 20, 2012 to presentfactForm ADV
← L•••••••• L••••••• R••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 20, 2012 to presentfactForm ADV

Registered with (4)

← B•••• J••• W••••Advisor

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 20, 2012
Last observed: Apr 17, 2012 175 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.