DFX Intelligence

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

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RIA / WealthRegistered adviserother adviserSEC registeredRAUM 10b 100b

F•••••••• M••••••••• I•••

CRD 109149

MILWAUKEE, WI

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Search this name across graphsid dfx:ria:8c9ec249-705e-cb3c-1032-6eb78a838481

Data as of Jun 9, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 4
On other graphs: 0
Observed: Mar 15, 2012 to Jun 9, 2026
26 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: other adviserderivedprivate_client_share=0.16 fund_share=0.6 institutional_share=0.2 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $11B••• Locked
Discretionary RAUM: $11B
Private client RAUM: $1.9Bderived••• Locked
Private client share: 16%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 25

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••••• J•••• S••••	PRESIDENT, CHIEF EXECUTIVE OFFICER	A	yes	12/2022	Mar 15, 2012	Mar 27, 2024
E••••••• P••••••• J•	EXECUTIVE CHAIRMAN	C	yes	12/2022	Mar 15, 2012	Mar 27, 2024

Regulatory AUM by fiscal year

••• Locked

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

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	$11B	$15B	-24.2%	$13B	-4.9%	25	24	0	0

Relationships

Owns (3)

← B••••• B•••••• J••••••OwnerEXECUTIVE VICE PRESIDENT, ownership code NA, individual
Mar 15, 2012 to Mar 27, 2024factForm ADV
← T••••• J••••••• P•••••OwnerVICE PRESIDENT, ownership code NA, individual
Mar 15, 2012 to Mar 27, 2024factForm ADV
← L• N•••• D•••••• C•••••••••OwnerCHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 13, 2023 to Mar 27, 2024factForm ADV

Controls (3)

← B•••••••• J•••• S••••OwnerPRESIDENT, CHIEF EXECUTIVE OFFICER, ownership code A, individual

Dated events

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

Occurred
Jan 29, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 26, 2021
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-6.6B
Occurred
Feb 20, 2014
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Show 1 bookkeeping events

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8c9ec249-705e-cb3c-1032-6eb78a838481
First observed: Mar 15, 2012
Last observed: Jun 9, 2026 3 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.