DFX Intelligence

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

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 100m 1b

M•• W••••• M••••••••• L••

CRD 165516

TOMAH, WI

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Search this name across graphs

Data as of Jul 7, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 10:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 27
Dated events: 16
On other graphs: 0
Observed: Jun 7, 2017 to Jul 7, 2026
31 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 managerderived••• Locked
Regulatory AUM: $977M••• Locked
Discretionary RAUM: $750M
Private client RAUM: $746Mderived••• Locked
Private client share: 76%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 13
RAUM per advisor: $75.2Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
T•••••• B•••• M••	n/a	BARABOO, WI \| TOMAH, WI	13	26	1	no
B•••• D•••••• B••••••	n/a	BARABOO, WI \| TOMAH, WI	13	19

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• J•••••• L••	CHIEF COMPLIANCE OFFICER/FINANCIAL ADVISOR	Na	yes	01/2016	Jul 7, 2026	Jul 7, 2026
J•• B•••• L••	Member	B	yes	12/2011	Jul 7, 2026	Jul 7, 2026

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M•• C••• L••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Baraboo	Wi	United States	4	no
Reedsburg	Wi	United States	2	no
SUN PRAIRIE	Wi	United States	1	no
Wausau	Wi	United States	1	no
n/a	n/a

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
2	0	2	0.0%	1	0	0	3	1

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	$977M	$860M	13.7%	$450M	29.5%	18	17	7	8

Relationships

Owns (6)

← P••••• F•••••••• P•••••••• L••OwnerMEMBER, ownership code B, domestic entity
Jul 7, 2026 to presentfactForm ADV
← K•••••• W••••• M••••••••• L••OwnerMEMBER, ownership code B, domestic entity
Jul 7, 2026 to presentfactForm ADV
← M•• C•• L••OwnerMANAGING MEMBER, ownership code C, domestic entity
Jul 7, 2026 to presentfactForm ADV
← D•• N•••• F••••••••• L••OwnerMEMBER, ownership code B, domestic entity
Jul 7, 2026 to presentfact

Dated events

5 bookkeeping events (roster, classification and holdings changes) folded below

Order

Occurred
7 Jul 2026
Ria office opened2 events
M•• W••••• M••••••••• L••: ria office opened, 2 events, on 7 Jul 2026
- ••• Locked
- ••• Locked
Occurred
7 Jul 2026
Ria office closed
••• Locked
Form ADV
Occurred
5 Aug 2025
Advisor changed firm
••• Locked
Form ADV
Occurred
25 Jan 2024
Regulatory AUM changed
••• Locked
Form ADV
$276M
Occurred
2 Feb 2023
Control person left
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jun 7, 2017
Last observed: Jul 7, 2026 2 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.

All 13 rows

Advisor	Designations	Branch	In industry	Prior firms	Dual registered
T••• L•• H••••••	Personal Financial Specialist	TOMAH, WI \| Scottsbluff, NE	34	2	no
J••••• M••••••• P••••••	n/a	BARABOO, WI \| TOMAH, WI	10	n/a	no
M••••••• M•••••	n/a	CHANDLER, AZ \| TOMAH, WI	21	5	no

All 13 rows

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
P••••• F•••••••• P•••••••• L••	Member	B	no	01/2020	Jul 7, 2026	Jul 7, 2026
K••••• M•••••	MANAGING MEMBER	C	no	01/2009	Oct 12, 2022	Jun 4, 2024
V••••••• F••••	MANAGING MEMBER	C	no	01/2019	Oct 12, 2022	Jun 4, 2024