DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Filbrandt Investment Advisers Incorporated

Former SEC-registered adviserMiddleton, WisconsinCRD 104562SEC 801-55558IAPD
Latest filing Mar 23, 2017
First filing on the tape Mar 26, 2012 · 12 filings
RAUM
$891M
reported, Item 5.F
Discretionary
75%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
14
10 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$891M as of Mar 23, 2017
Mar 26, 2012$421M then
HNW client RAUM: no history
State-registered IARs (5.B.3)10 as of Mar 23, 2017
Apr 1, 201310 then
Employees (5.A)14 as of Mar 23, 2017
Apr 1, 201316 then
Private funds: no history
RAUM +42% over the last fiscal year+11% a year over threeIARs 9 to 10
Practice profile
derived from the filing of Mar 23, 2017; every figure names its basis
RAUM per advisor
$89.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$340,213derivedRAUM over accounts (5.F.2.f)
Discretionary
75%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.4derivedItem 5.A over advisors
Advisors per office
10.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+42%derivedbetween the last two annual amendments
Advisor growth, one year
+11%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2,619reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • John Michael Filbrandt · Vice Presidentcontrol
      since 05/2010 · owns 50% to 75%
    • Jean Patricia Filbrandt · President, Secretary, Treasurer And Chief Compliance Officercontrol
      since 05/2010 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    • Filbrandt And Company, Incorporated
      real estatey
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 372 to 2,619
      Mar 29, 2016 to Mar 23, 2017
    • Advisory employees · 9 to 10
      Mar 29, 2016 to Mar 23, 2017
    • Employees · 22 to 14
      Mar 29, 2016 to Mar 23, 2017
    • State-registered IARs · 9 to 10
      Mar 29, 2016 to Mar 23, 2017
    • Discretionary RAUM · $621M to $671M
      Mar 29, 2016 to Mar 23, 2017
    • Non-discretionary RAUM · $6.2M to $220M
      Mar 29, 2016 to Mar 23, 2017
    • RAUM · $627M to $891M
      Mar 29, 2016 to Mar 23, 2017
    • Accounts · 352 to 372
      Sep 15, 2015 to Mar 29, 2016
    • Advisory employees · 6 to 9
      Sep 15, 2015 to Mar 29, 2016
    • Advisory activities · 4 to 3
      Sep 15, 2015 to Mar 29, 2016
    • Employees · 13 to 22
      Sep 15, 2015 to Mar 29, 2016
    • State-registered IARs · 6 to 9
      Sep 15, 2015 to Mar 29, 2016
    • Discretionary RAUM · $706M to $621M
      Sep 15, 2015 to Mar 29, 2016
    • Non-discretionary RAUM · $1.6M to $6.2M
      Sep 15, 2015 to Mar 29, 2016
    • RAUM · $708M to $627M
      Sep 15, 2015 to Mar 29, 2016
    • Accounts · 330 to 352
      Jul 2, 2014 to Mar 4, 2015
    • Advisory employees · 5 to 6
      Jul 2, 2014 to Mar 4, 2015
    • State-registered IARs · 5 to 6
      Jul 2, 2014 to Mar 4, 2015
    • Discretionary RAUM · $642M to $706M
      Jul 2, 2014 to Mar 4, 2015
    • Non-discretionary RAUM · $1.4M to $1.6M
      Jul 2, 2014 to Mar 4, 2015
    • RAUM · $644M to $708M
      Jul 2, 2014 to Mar 4, 2015
    • Accounts · 379 to 330
      Apr 1, 2013 to Mar 26, 2014
    • Employees · 16 to 13
      Apr 1, 2013 to Mar 26, 2014
    • State-registered IARs · 10 to 5
      Apr 1, 2013 to Mar 26, 2014
    • Discretionary RAUM · $524M to $642M
      Apr 1, 2013 to Mar 26, 2014
    • Non-discretionary RAUM · $4.3M to $1.4M
      Apr 1, 2013 to Mar 26, 2014
    • RAUM · $528M to $644M
      Apr 1, 2013 to Mar 26, 2014
    • Accounts · 292 to 379
      Apr 12, 2012 to Apr 1, 2013
    • Advisory employees · unset to 5.0
      Apr 12, 2012 to Apr 1, 2013
    • Employees · unset to 16.0
      Apr 12, 2012 to Apr 1, 2013
    • State-registered IARs · unset to 10.0
      Apr 12, 2012 to Apr 1, 2013
    • Discretionary RAUM · $421M to $524M
      Apr 12, 2012 to Apr 1, 2013
    • Non-discretionary RAUM · $206,742 to $4.3M
      Apr 12, 2012 to Apr 1, 2013
    • RAUM · $421M to $528M
      Apr 12, 2012 to Apr 1, 2013
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026