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Former SEC-registered adviserFormer SEC adviser· Milwaukee, Wisconsin

Former SEC-registered adviser, based in Milwaukee, Wisconsin, reporting $1.9B of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$1.9B
Form ADV
RAUM change, last fiscal year
+26%
Form ADV, consecutive annual filings
Private clients
95% of RAUM, $1.8B
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 105160 · SEC 801-14017 · 31 filingsShow
CRD 105160SEC 801-14017First filing on the tape Mar 5, 2012, latest Feb 18, 2022IAPD
RAUM
$1.9B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$1.8B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$1.9B as of Feb 18, 2022
Mar 5, 2012$590M then
HNW client RAUM$1.7B as of Feb 18, 2022
Feb 14, 2018$1.1B then
State-registered IARs (5.B.3)4 as of Feb 18, 2022
Mar 18, 20130 then
Employees (5.A)6 as of Feb 18, 2022
Mar 18, 20135 then
Private funds: no history
RAUM +26% over the last fiscal year+15% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Feb 18, 2022; every figure names its basis
The rule behind each archetype, and every derived figureShow
RAUM per advisor
$465MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
143derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.4MderivedHNW RAUM over HNW clients
Average account
$1.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
4.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+26%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.9%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, publicationsreportedItem 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$1.7B94%
  • Pension and profit-sharing plans$69.4M3.7%
  • Individuals$22.0M1.2%
  • Charitable organizations$17.1M0.9%
  • Corporations and businesses$2.0M0.1%
Individual clients
55reported
HNW clients
518reported
Pension plan clients
31reported
Charitable clients
5reported
Accounts
1,246reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisor movement
Where they went: the top destinations among the 3 most recent departures on the tape
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
      Advisors registered through the firm
      0 on IAPD today; the 10 longest tenured
      No representative is registered through this CRD on IAPD.
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • S•••••• B••••• D•••• · Member, Chief Compliance Officercontrol
        since 10/2002 · owns 50% to 75%
      • S•••••• M••••••• A•••• · Membercontrol
        since 10/2002 · owns 50% to 75%
      • S•••••• R•••••• B•••• · Investment Advisorcontrol
        since 10/2002 · 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 · 1,207 to 1,246
        Dec 14, 2021 to Feb 18, 2022
      • Charity clients · 6 to 5
        Dec 14, 2021 to Feb 18, 2022
      • Corporate clients · 4 to 2
        Dec 14, 2021 to Feb 18, 2022
      • HNW clients · 482 to 518
        Dec 14, 2021 to Feb 18, 2022
      • Individual clients · 86 to 55
        Dec 14, 2021 to Feb 18, 2022
      Full history · 78 changes
      • Pension plan clients · 33 to 31
        Dec 14, 2021 to Feb 18, 2022
      • Discretionary RAUM · $1.5B to $1.9B
        Dec 14, 2021 to Feb 18, 2022
      • HNW RAUM · $1.3B to $1.7B
        Dec 14, 2021 to Feb 18, 2022
      • Individual RAUM · $41.4M to $22.0M
        Dec 14, 2021 to Feb 18, 2022
      • Pension RAUM · $66.7M to $69.4M
        Dec 14, 2021 to Feb 18, 2022
      • RAUM · $1.5B to $1.9B
        Dec 14, 2021 to Feb 18, 2022
      • Accounts · 1,262 to 1,207
        Jul 23, 2020 to Feb 3, 2021
      • Corporate clients · 3 to 4
        Jul 23, 2020 to Feb 3, 2021
      • HNW clients · 512 to 482
        Jul 23, 2020 to Feb 3, 2021
      • Individual clients · 84 to 86
        Jul 23, 2020 to Feb 3, 2021
      • Discretionary RAUM · $1.5B to $1.5B
        Jul 23, 2020 to Feb 3, 2021
      • HNW RAUM · $1.3B to $1.3B
        Jul 23, 2020 to Feb 3, 2021
      • Individual RAUM · $39.2M to $41.4M
        Jul 23, 2020 to Feb 3, 2021
      • Pension RAUM · $64.5M to $66.7M
        Jul 23, 2020 to Feb 3, 2021
      • RAUM · $1.5B to $1.5B
        Jul 23, 2020 to Feb 3, 2021
      • Accounts · 1,313 to 1,262
        Jul 3, 2019 to Mar 10, 2020
      • Advisory employees · 3 to 4
        Jul 3, 2019 to Mar 10, 2020
      • HNW clients · 414 to 512
        Jul 3, 2019 to Mar 10, 2020
      • Individual clients · 160 to 84
        Jul 3, 2019 to Mar 10, 2020
      • Pension plan clients · 59 to 33
        Jul 3, 2019 to Mar 10, 2020
      • Financial planning clients · 26-50 to 51-100
        Jul 3, 2019 to Mar 10, 2020
      • State-registered IARs · 0 to 4
        Jul 3, 2019 to Mar 10, 2020
      • Discretionary RAUM · $1.2B to $1.5B
        Jul 3, 2019 to Mar 10, 2020
      • HNW RAUM · $1.0B to $1.3B
        Jul 3, 2019 to Mar 10, 2020
      • Individual RAUM · $94.4M to $39.2M
        Jul 3, 2019 to Mar 10, 2020
      • Pension RAUM · $100M to $64.5M
        Jul 3, 2019 to Mar 10, 2020
      • RAUM · $1.2B to $1.5B
        Jul 3, 2019 to Mar 10, 2020
      • Accounts · 1,284 to 1,313
        Oct 23, 2018 to Feb 19, 2019
      • HNW clients · 411 to 414
        Oct 23, 2018 to Feb 19, 2019
      • Pension plan clients · 60 to 59
        Oct 23, 2018 to Feb 19, 2019
      • Financial planning clients · 11-25 to 26-50
        Oct 23, 2018 to Feb 19, 2019
      • Discretionary RAUM · $1.4B to $1.2B
        Oct 23, 2018 to Feb 19, 2019
      • HNW RAUM · $1.1B to $1.0B
        Oct 23, 2018 to Feb 19, 2019
      • Individual RAUM · $102M to $94.4M
        Oct 23, 2018 to Feb 19, 2019
      • Pension RAUM · $117M to $100M
        Oct 23, 2018 to Feb 19, 2019
      • RAUM · $1.4B to $1.2B
        Oct 23, 2018 to Feb 19, 2019
      • Accounts · 1,201 to 1,284
        May 2, 2017 to Feb 14, 2018
      • Charity clients · unset to 6.0
        May 2, 2017 to Feb 14, 2018
      • Corporate clients · unset to 3.0
        May 2, 2017 to Feb 14, 2018
      • HNW clients · unset to 411.0
        May 2, 2017 to Feb 14, 2018
      • Individual clients · unset to 160.0
        May 2, 2017 to Feb 14, 2018
      • Pension plan clients · unset to 60.0
        May 2, 2017 to Feb 14, 2018
      • Other offices · unset to 0.0
        May 2, 2017 to Feb 14, 2018
      • Discretionary RAUM · $1.1B to $1.4B
        May 2, 2017 to Feb 14, 2018
      • HNW RAUM · unset to 1136345554.0
        May 2, 2017 to Feb 14, 2018
      • Individual RAUM · unset to 101876655.0
        May 2, 2017 to Feb 14, 2018
      • Pension RAUM · unset to 117026022.0
        May 2, 2017 to Feb 14, 2018
      • RAUM · $1.1B to $1.4B
        May 2, 2017 to Feb 14, 2018
      • Accounts · 1,187 to 1,201
        Mar 15, 2016 to Feb 23, 2017
      • Discretionary RAUM · $1.1B to $1.1B
        Mar 15, 2016 to Feb 23, 2017
      • RAUM · $1.1B to $1.1B
        Mar 15, 2016 to Feb 23, 2017
      • Advisory activities · 1 to 3
        Mar 14, 2016 to Mar 15, 2016
      • Employees · 5 to 6
        Mar 14, 2016 to Mar 15, 2016
      • Discretionary RAUM · $1.0B to $1.1B
        Mar 14, 2016 to Mar 15, 2016
      • RAUM · $1.0B to $1.1B
        Mar 14, 2016 to Mar 15, 2016
      • Accounts · 1,125 to 1,187
        Feb 25, 2015 to Mar 14, 2016
      • Advisory activities · 3 to 1
        Feb 25, 2015 to Mar 14, 2016
      • Discretionary RAUM · $998M to $1.0B
        Feb 25, 2015 to Mar 14, 2016
      • RAUM · $998M to $1.0B
        Feb 25, 2015 to Mar 14, 2016
      • Financial planning clients · 0 to 11-25
        Feb 4, 2015 to Feb 12, 2015
      • Accounts · 578 to 1,125
        Oct 16, 2014 to Feb 4, 2015
      • Financial planning clients · 51-100 to 0
        Oct 16, 2014 to Feb 4, 2015
      • Discretionary RAUM · $850M to $998M
        Oct 16, 2014 to Feb 4, 2015
      • RAUM · $850M to $998M
        Oct 16, 2014 to Feb 4, 2015
      • Accounts · 551 to 578
        Aug 20, 2013 to Feb 14, 2014
      • Discretionary RAUM · $638M to $850M
        Aug 20, 2013 to Feb 14, 2014
      • RAUM · $638M to $850M
        Aug 20, 2013 to Feb 14, 2014
      • Accounts · 543 to 551
        Oct 23, 2012 to Mar 18, 2013
      • Advisory employees · unset to 3.0
        Oct 23, 2012 to Mar 18, 2013
      • Employees · unset to 5.0
        Oct 23, 2012 to Mar 18, 2013
      • State-registered IARs · unset to 0.0
        Oct 23, 2012 to Mar 18, 2013
      • Discretionary RAUM · $590M to $638M
        Oct 23, 2012 to Mar 18, 2013
      • RAUM · $590M to $638M
        Oct 23, 2012 to Mar 18, 2013
      Signals
      5 dated events
      • ••• Locked
        Oct 7, 2022 · Advisor changed firm · fact
      • ••• Locked
        Oct 7, 2022 · Advisor changed firm · fact
      • ••• Locked
        Oct 7, 2022 · Advisor changed firm · fact
      • ••• Locked
        Oct 7, 2022 · Firm absorbed (people side) · derived
      • ••• Locked
        Feb 18, 2022 · 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
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026