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

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

R• M••••• I•••

CRD 134035

FORT ATKINSON, WI

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Search this name across graphsid dfx:ria:c4336d80-bbea-fe04-3652-55d26f165233

Data as of Feb 9, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:36 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 25, 2012 to Feb 9, 2012
2 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: $44.1MItem 5.F on the latest filing (2012-02-09); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $44.1M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts

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
M••••• E••••••••• L•	Director	Na	yes	11/1997	Jan 25, 2012	Feb 9, 2012
M••••• M•••• A•••	OWNER/SHAREHOLDER/CHIEF COMPLIANCE OFFICER/IAR	E	yes	12/2006	Jan 25, 2012

Relationships

Controls (3)

← M••••• M•••• A•••OwnerOWNER/SHAREHOLDER/CHIEF COMPLIANCE OFFICER/IAR, ownership code E, individual
Jan 25, 2012 to presentfactForm ADV
← M••••• R••••••• A•••OwnerPRESIDENT, ownership code NA, individual
Jan 25, 2012 to presentfactForm ADV
← M••••• E••••••••• L•OwnerDIRECTOR, ownership code NA, individual
Jan 25, 2012 to presentfactForm ADV

Registered with (1)

← M••• A••• M••••Advisor

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c4336d80-bbea-fe04-3652-55d26f165233
First observed: Jan 25, 2012
Last observed: Feb 9, 2012 177 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.