DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

U••••••• C•••• I••••••••

U••••••• C•••• I••••••••, INC, CRD 290105

JANESVILLE, WI

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Search this name across graphsid dfx:ria:e0caea5d-cee0-0105-6b93-7f226f3753ab

Data as of Aug 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Sep 22, 2017 to Aug 25, 2026
25 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=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $520M••• Locked
Discretionary RAUM: $514M
Private client RAUM: $514Mderived••• Locked
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $130Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
S••••• M•••• H•••••	Certified Financial Planner	JANESVILLE, WI	8	19	2	no
J••• D• B••••••	n/a	JANESVILLE, WI	8	49

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H•••••• S•••••• M••••	MANAGING MEMBER, CHIEF COMPLIANCE OFFICER	E	yes	09/2017	Sep 22, 2017	Jul 11, 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
1	0	1	0.0%	1	0	0	1	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	$520M	$417M	24.5%	$314M	18.2%	3	3	0	0

Relationships

Registered with (5)

← K••••• L• J••••••••Advisorregistration: current employment
Sep 11, 2026 to presentfactForm ADV
← G•••••• A••• S•••••Advisorregistration: current employment
May 24, 2018 to presentfactForm ADV
← S••••• M•••• H•••••Advisorregistration: current employment
Oct 31, 2017 to presentfactForm ADV
← J••• D• B••••••

Dated events

Occurred
Jun 8, 2022
Advisor changed firm
Marissa Ann Evers left U••••••• C•••• I•••••••• for Retirement Income Strategies, Llc (registered 2022-09-27)
Form ADVobserved 7 days ago
Occurred
Sep 22, 2017
First Form ADV filing
U••••••• C•••• I•••••••• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e0caea5d-cee0-0105-6b93-7f226f3753ab
First observed: Sep 22, 2017
Last observed: Aug 25, 2026 28 days 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.