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J• I••••••••• 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

J• I••••••••• M••••••••• L••

CRD 146995

BROOKFIELD, WI

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Search this name across graphsid dfx:ria:ba32c763-124b-1d18-27cb-a144a01fba00

Data as of Mar 9, 2018 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Feb 16, 2012 to Mar 9, 2018
7 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: $613MItem 5.F on the latest filing (2018-03-09); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $613M
Private client RAUM: $135MderivedItem 5.D individuals plus high net worth individuals
Private client share: 22%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••• J••••••• L•••	PRESIDENT/MANAGING MEMBER/CHIEF INVESTMENT OFFICER	E	yes	11/2007	Feb 16, 2012	Mar 9, 2018
R•••••• J•••••••• G••	VICE PRESIDENT/CHIEF COMPLIANCE OFFICER/PORTFOLIO MANAGER	A	yes	05/2008	Feb 16, 2012

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

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

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	$613M	$574M	6.8%	$615M	-0.1%	4	4	0	n/a

Relationships

Controls (2)

← B•••••• J••••••• L•••OwnerPRESIDENT/MANAGING MEMBER/CHIEF INVESTMENT OFFICER, ownership code E, individual
Feb 16, 2012 to presentfactForm ADV
← R•••••• J•••••••• G••OwnerVICE PRESIDENT/CHIEF COMPLIANCE OFFICER/PORTFOLIO MANAGER, ownership code A, individual
Feb 16, 2012 to presentfactForm ADV

Registered with (1)

← J••••••• GUY R•••••Advisorregistration: previous registration
May 14, 2008 to Nov 2, 2018factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ba32c763-124b-1d18-27cb-a144a01fba00
First observed: Feb 16, 2012
Last observed: Mar 9, 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.