DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

I•••••••• I•••••••• L••

CRD 111968

WAUWATOSA, WI

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Search this name across graphsid dfx:ria:c7b943f7-c1c4-7d0c-f935-0269b79ef0cc

Data as of Jan 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 2
On other graphs: 0
Observed: Jan 25, 2012 to Jan 14, 2026
13 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: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $129M••• Locked
Discretionary RAUM: $129M
Private client RAUM: $129Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $43.1Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
C••• A• M••••••	n/a	OMAHA, NE \| WAUWATOSA, WI	7	21	n/a	no
W•••••• M••••••• F•••	n/a	OMAHA, NE \| WAUWATOSA, WI	0	32

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F•••• W••••••• M•••••••	CHIEF COMPLIANCE OFFICER	C	yes	11/1999	Jan 25, 2012	Feb 6, 2024
S•••• C••••••••• P•••	Member	C	yes	11/1999	Jan 25, 2012	Feb 6, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

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	$129M	$124M	4.0%	$107M	6.6%	4	4	0	0

Relationships

Registered with (3)

← W•••••• M••••••• F•••Advisorregistration: previous registration
Jan 4, 2000 to Dec 31, 2002factForm ADV
← C••••••••• P••• S•••Advisorregistration: previous registration
Jan 4, 2000 to Dec 31, 2002factForm ADV
← C••• A• M••••••Advisorregistration: current employment
Nov 9, 2018 to presentfactForm ADV

Controls (3)

Dated events

Occurred
May 3, 2019
Control person left
Oscar Charles Klawitter (Member) no longer on Schedule A of I•••••••• I•••••••• L•• (listed 2012-03-20, absent 2019-05-03)
Form ADVobserved 7 days ago
Occurred
May 3, 2019
First Form ADV filing
I•••••••• I•••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c7b943f7-c1c4-7d0c-f935-0269b79ef0cc
First observed: Jan 25, 2012
Last observed: Jan 14, 2026 8 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.