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CRD 109993
MILWAUKEE, 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 |
|---|---|---|---|---|---|---|
| R••••• W•••• P••••• | n/a | MILWAUKEE, WI | 26 | 31 | n/a | no |
| B•••• V••••• S•••••••• | n/a | MILWAUKEE, WI | 21 | 35 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| K•••••••• B•••••••• J••••• | VICE PRESIDENT | B | yes | 01/2021 | Sep 8, 2026 | Sep 8, 2026 |
| P•••••• D••••• J••••• | VICE PRESIDENT | B | yes | 09/2023 | Sep 8, 2026 | Sep 8, 2026 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| PRAIRIE DU SAC | Wi | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 1 | 0 | 1 | 0.0% | 0 | 0 | 0 | 2 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $1.2B | $927M | 25.9% | $440M | 38.4% | 21 | 21 | 1 | 1 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| O•••• A••••••• S•••••••• L•• | 2 | Dec 31, 2020 | Sep 29, 2020 | MILWAUKEE, WI | Team lift out | RIA to ibd | 25.0% |
| E•••• O•• I••••••••• L•• | 2 | Dec 31, 2020 | Jun 22, 2011 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| J•••••• W••••• I••• | 2 | Nov 15, 2022 | Jan 26, 2023 | MILWAUKEE, WI | Team lift out | RIA to RIA | 5.7% |
| no |
| B••••••• J••••• K••••••• | n/a | MILWAUKEE, WI | 21 | 27 | n/a | no |
| P•••• S•••• L••••••• | n/a | MILWAUKEE, WI | 11 | 36 | 1 | no |
| E••• J•••• S••••••••• | n/a | MILWAUKEE, WI | 5 | 17 | n/a | no |
| D•••• J••••• P••••• | n/a | MILWAUKEE, WI | 4 | 30 | 4 | no |
| P•••• F•••••• S••••••••• | n/a | MILWAUKEE, WI | 3 | 35 | 2 | no |
| C•••••• A••••• A•••••• | Certified Financial Planner|Chartered Financial Consultant | MILWAUKEE, WI | 3 | 14 | 3 | no |
| J••••• A•••••• G••••• | n/a | MILWAUKEE, WI | 3 | 12 | 2 | no |
| K••• M••••••• | n/a | MILWAUKEE, WI | 2 | 30 | 5 | no |
| J••••• R• B••••••• | n/a | MILWAUKEE, WI | 2 | 16 | n/a | no |
| T•••• S••••• S•••••• | n/a | MILWAUKEE, WI | 2 | 13 | n/a | no |
| J•••• R••••• S•••• | Chartered Financial Consultant | MILWAUKEE, WI | 0 | 13 | 2 | no |
| C••••• A••••• | n/a | MILWAUKEE, WI | 0 | 11 | n/a | no |
| President |
| B |
| yes |
| 09/2000 |
| Sep 8, 2026 |
| Sep 8, 2026 |
| A••••••• C••••••• A••••• | CHUCK A. A••••••, TRUSTEE | F | yes | 04/2024 | Aug 12, 2024 | Aug 12, 2024 |
| C•••••• M••••••• J••••• | M•••••• J. C•••••, TRUSTEE | F | yes | 08/2023 | Mar 31, 2024 | Aug 12, 2024 |
| W•••••• R•••••• L••••• | R••••• L. W•••••, TRUSTEE | F | yes | 07/2024 | Aug 12, 2024 | Aug 12, 2024 |
| G•••••• J•••••• A•••••• | Shareholder | B | no | 04/2024 | Sep 8, 2026 | Sep 8, 2026 |
| H•••••• R••••• J•••• | CHIEF COMPLIANCE OFFICER | Na | no | 01/2026 | Sep 8, 2026 | Sep 8, 2026 |
| S••••••••• P••••• F•••••• | Shareholder | A | no | 08/2023 | Sep 8, 2026 | Sep 8, 2026 |
| S••••••••• E•••• J•••• | Shareholder | A | no | 10/2025 | Sep 8, 2026 | Sep 8, 2026 |
| A•••••• F••••• T•••• | Shareholder | A | no | 04/2024 | Aug 12, 2024 | Aug 12, 2024 |
| G•••••• P•••• W•••••• | Shareholder | A | no | 08/2023 | Aug 12, 2024 | Aug 12, 2024 |
| H••••••••• J•••••• M•••• | Shareholder | A | no | 08/2023 | Aug 12, 2024 | Aug 12, 2024 |
| M•••••• J• C••••• L••••• T•••• | Shareholder | A | no | 08/2023 | Sep 22, 2023 | Aug 12, 2024 |
| S••••••••• D•••• S••• | Shareholder | A | no | 09/2023 | Aug 12, 2024 | Aug 12, 2024 |
| W••••• L••••• T•••• | Shareholder | A | no | 07/2024 | Aug 12, 2024 | Aug 12, 2024 |
| Apr 29, 2026 |
| $1.2B |
| $1.1B |
| 21 |
| 13 |
| 1 |
| n/a |
| n/a |
| 2024 | Mar 31, 2025 | $927M | $869M | 21 | 13 | 1 | n/a | n/a |
| 2023 | Mar 31, 2024 | $703M | $698M | 14 | 10 | 1 | n/a | n/a |
| 2022 | Mar 24, 2023 | $440M | $439M | 9 | 9 | 2 | n/a | n/a |
| 2021 | Mar 30, 2022 | $469M | $468M | 9 | 7 | 2 | n/a | n/a |
| 2020 | Mar 31, 2021 | $436M | $435M | 9 | 7 | 2 | n/a | n/a |
| 2019 | Apr 16, 2020 | $521M | $487M | 11 | 10 | 3 | n/a | n/a |
| 2018 | Mar 25, 2019 | $442M | $417M | 11 | 10 | 4 | n/a | n/a |
| 2017 | Mar 28, 2018 | $460M | $427M | 11 | 11 | 4 | n/a | n/a |
| 2016 | Mar 28, 2017 | $401M | $380M | 10 | 10 | n/a | n/a | n/a |
| 2015 | Mar 29, 2016 | $360M | $341M | 8 | 8 | n/a | n/a | n/a |
| 2014 | Mar 26, 2015 | $264M | $249M | 8 | 8 | n/a | n/a | n/a |
| 2013 | Mar 13, 2014 | $244M | $227M | 8 | 8 | n/a | n/a | n/a |
| 2012 | Mar 26, 2013 | $191M | $182M | 9 | 9 | n/a | n/a | n/a |
| 2011 | Mar 29, 2012 | $167M | $157M | n/a | n/a | n/a | n/a | n/a |
| BROOKFIELD, WI |
| Team lift out |
| Other |
| 25.0% |