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CRD 154854
WAUKESHA, WI
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| A•••••• S••••• D•••• | n/a | WAUKESHA, WI | 15 | 18 | 1 | no |
| B•••••• M•••••• A•••• | n/a | WAUKESHA, WI | 9 | 11 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| D••••• A••••••• S••••• | MANAGING MEMBER | E | yes | 08/2010 | Apr 17, 2019 | Oct 4, 2024 |
| M•••••••• I••• D•••••• | CHIEF COMPLIANCE OFFICER | Na | no | 08/2023 | Sep 8, 2023 | Oct 4, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| L••• F•••••••• A••••••• G••••• L•• | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Mequon | Wi | United States | 3 | no |
| GRAND RAPIDS | Mi | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 4 | 2 | 2 | 12.5% | 0 | 0 | 0 | 11 | 5 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $607M | $419M | 45.0% | $227M | 38.8% | 36 | 38 | 1 | 2 |
| no |
| T••••• J••••• N•••••• | n/a | WAUKESHA, WI | 7 | 20 | 3 | no |
| R•••••• J••• W•••••• | Certified Financial Planner | WAUKESHA, WI | 3 | 26 | 5 | no |
| J••••••• C••• C•••• | n/a | WAUKESHA, WI | 2 | 10 | 1 | no |
| B•••••• M••••••• C••••••••• | n/a | WAUKESHA, WI | 2 | 12 | n/a | no |
| R••• R•••••• | n/a | WAUKESHA, WI | 1 | 15 | n/a | no |
| C••••• J••••• B•••• | n/a | WAUKESHA, WI | 1 | 11 | 2 | no |
| J•••••• J••••• R•••• | Certified Financial Planner | WAUKESHA, WI | 1 | 25 | 1 | no |
| J•••• J••••• N••••• | n/a | WAUKESHA, WI | 1 | 11 | n/a | no |
| R••• J••• J••••• | n/a | WAUKESHA, WI | 0 | 10 | n/a | no |
| C•••• F•••••••• L••••• | n/a | WAUKESHA, WI | 0 | 10 | 1 | no |
| A•••••• T••••••• | n/a | WAUKESHA, WI | 0 | 11 | 1 | no |
| J••••• T••• H•••• | n/a | WAUKESHA, WI | 0 | 15 | 2 | no |
| K••••••• A••••• A••••• | n/a | WAUKESHA, WI | 0 | 14 | 1 | no |
| J••• F•••••• M••••••• | n/a | WAUKESHA, WI | 0 | 10 | n/a | no |
| DIRECTOR OF OPERATIONS |
| Na |
| no |
| 08/2023 |
| Sep 8, 2023 |
| Oct 4, 2024 |
| $607M |
| $607M |
| 34 |
| 13 |
| 1 |
| n/a |
| n/a |
| 2024 | Apr 14, 2025 | $419M | $419M | 38 | 15 | 2 | n/a | n/a |
| 2023 | May 1, 2024 | $313M | $313M | 25 | 6 | 2 | n/a | n/a |
| 2022 | Mar 24, 2023 | $227M | $227M | 9 | 4 | 1 | n/a | n/a |
| 2021 | Mar 16, 2022 | $228M | $227M | 11 | 6 | 1 | n/a | n/a |
| 2020 | Mar 17, 2021 | $163M | $162M | 10 | 5 | 0 | n/a | n/a |
| 2019 | Mar 17, 2020 | $130M | $129M | 10 | 5 | 0 | n/a | n/a |