DFX Intelligence

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

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RIA / WealthRegistered adviserno raum reportedSEC registeredRAUM none

I•••••••• L••

CRD 147589

APPLETON, WI

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Search this name across graphsid dfx:ria:e00235a1-75c0-bff3-127b-50042c5fadc6

Data as of Mar 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Nov 30, 2011 to Mar 26, 2026
24 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: no raum reportedderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 2
Employees: 3
Advisory employees: 3
Offices: 2Schedule D 1.F, beyond the principal office

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S•••••••• D••••	Member	D	yes	06/2008	Nov 30, 2011	Mar 22, 2024
S•••••••• V•••••• C•••••	CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER, CHIEF INVESTMENT OFFICER, MANAGING MEMBER	D	yes	06/2008	Nov 30, 2011	Mar 22, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S••••••• • A••••••••• L••	n/a	Independent wealth	$108M	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

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	$0	$0	n/a	n/a	n/a	3	4	2	1

Relationships

Affiliated with (2)

← S••••••• • A••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ S••••••• • A••••••••• L••Registered adviserother investment adviser, common control
factForm ADV

Registered with (4)

← V••••• C••••• S•••••••Advisorregistration: current employment
Jan 29, 2014 to presentfactForm ADV
← S•••• R•••••• J••••

Dated events

Occurred
Sep 1, 2021
Control person left
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e00235a1-75c0-bff3-127b-50042c5fadc6
First observed: Nov 30, 2011
Last observed: Mar 26, 2026 6 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.