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.

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Former SEC-registered adviser

N••••••• C•••••• M••••••••• L••

Former SEC-registered adviserMadison, WisconsinCRD 104975SEC 801-14843IAPD
Latest filing Mar 26, 2018
First filing on the tape Mar 26, 2012 · 9 filings
RAUM
$544M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
72%
$390M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$544M as of Mar 26, 2018
Mar 26, 2012$334M then
HNW client RAUM: $358M
State-registered IARs (5.B.3)4 as of Mar 26, 2018
Feb 28, 20134 then
Employees (5.A)7 as of Mar 26, 2018
Feb 28, 20137 then
Private funds: no history
RAUM +43% over the last fiscal year+12% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 26, 2018; every figure names its basis
RAUM per advisor
$136MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
37derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.7MderivedHNW RAUM over HNW clients
Average account
$1.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
18%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+43%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$358M66%
  • Pension and profit-sharing plans$67.2M12%
  • Corporations and businesses$55.7M10%
  • Charitable organizations$31.7M5.8%
  • Individuals$31.4M5.8%
Individual clients
70reported
HNW clients
76reported
Pension plan clients
7reported
Charitable clients
10reported
Accounts
302reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Joined, latest
none on the tape
    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
      • H•••• S••••••• L•••• · Managing Partnercontrol
        since 01/2003 · owns 5% to 10%
      • M•••••• D•••••• T••••• · Managing Partnercontrol
        since 01/2003 · owns 25% to 50%
      • P••••• P•••• A••••• · Chief Compliance Officercontrol
        since 01/2003 · owns 25% to 50%
      • M•••••• A•• M•••• · Member
        since 01/2003 · owns 10% to 25%
      • M•••••• D•••••• T••••• · Managing Member
        since 01/2003 · owns F of N••••• M••••• L••
      • M•••••• D•••••• T••••• · President
        since 01/2003 · owns 25% to 50% of M•• P••••••• L••
      Entity owners
      • M•• P••••••• L•• · Shareholder Of Registrant
        direct · owns 75% or more
      • N••••• M••••• L•• · Managing Member
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 275 to 302
        Mar 21, 2017 to Mar 26, 2018
      • Charity clients · unset to 10.0
        Mar 21, 2017 to Mar 26, 2018
      • HNW clients · unset to 76.0
        Mar 21, 2017 to Mar 26, 2018
      • Individual clients · unset to 70.0
        Mar 21, 2017 to Mar 26, 2018
      • Pension plan clients · unset to 7.0
        Mar 21, 2017 to Mar 26, 2018
      • Other offices · unset to 0.0
        Mar 21, 2017 to Mar 26, 2018
      • Discretionary RAUM · $380M to $544M
        Mar 21, 2017 to Mar 26, 2018
      • HNW RAUM · unset to 358200000.0
        Mar 21, 2017 to Mar 26, 2018
      • Individual RAUM · unset to 31400000.0
        Mar 21, 2017 to Mar 26, 2018
      • Pension RAUM · unset to 67200000.0
        Mar 21, 2017 to Mar 26, 2018
      • RAUM · $380M to $544M
        Mar 21, 2017 to Mar 26, 2018
      • Accounts · 273 to 275
        Mar 21, 2016 to Mar 21, 2017
      • Discretionary RAUM · $358M to $380M
        Mar 21, 2016 to Mar 21, 2017
      • RAUM · $358M to $380M
        Mar 21, 2016 to Mar 21, 2017
      • Accounts · 267 to 273
        Mar 27, 2015 to Mar 21, 2016
      • Discretionary RAUM · $387M to $358M
        Mar 27, 2015 to Mar 21, 2016
      • RAUM · $387M to $358M
        Mar 27, 2015 to Mar 21, 2016
      • Accounts · 255 to 267
        Mar 26, 2014 to Mar 27, 2015
      • Discretionary RAUM · $357M to $387M
        Mar 26, 2014 to Mar 27, 2015
      • RAUM · $357M to $387M
        Mar 26, 2014 to Mar 27, 2015
      • Accounts · 256 to 255
        Aug 20, 2013 to Mar 26, 2014
      • Discretionary RAUM · $320M to $357M
        Aug 20, 2013 to Mar 26, 2014
      • RAUM · $320M to $357M
        Aug 20, 2013 to Mar 26, 2014
      • Accounts · 250 to 256
        Mar 26, 2012 to Feb 28, 2013
      • Advisory employees · unset to 4.0
        Mar 26, 2012 to Feb 28, 2013
      • Advisory activities · 2 to 5
        Mar 26, 2012 to Feb 28, 2013
      • Employees · unset to 7.0
        Mar 26, 2012 to Feb 28, 2013
      • Financial planning clients · unset to 1-10
        Mar 26, 2012 to Feb 28, 2013
      • State-registered IARs · unset to 4.0
        Mar 26, 2012 to Feb 28, 2013
      • Discretionary RAUM · $331M to $320M
        Mar 26, 2012 to Feb 28, 2013
      • Non-discretionary RAUM · $3.2M to $0
        Mar 26, 2012 to Feb 28, 2013
      • RAUM · $334M to $320M
        Mar 26, 2012 to Feb 28, 2013
      Signals
      1 dated events
      • N••••••• C•••••• M••••••••• L•• reported RAUM $544.2M, up 43% from $379.8M (2017-03-21 to 2018-03-26)
        Mar 26, 2018 · RAUM change · derived
      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