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.
SEC-registered adviser
Dana Investment Advisors Inc
Latest filing Mar 24, 2026
First filing on the tape Mar 27, 2012 · 17 filings
SEC status approved since Sep 21, 1979
RAUM
$6.1B
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
37%
$2.3B individuals and HNW
Advisors
26
registered through the firm on IAPD
RAUM per advisor
$234M
derived; firm RAUM over IAPD count
Employees
60
28 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$6.1B as of Mar 24, 2026
Mar 27, 2012$3.7B then
HNW client RAUM$1.9B as of Mar 24, 2026
Mar 29, 2018$859M then
State-registered IARs (5.B.3)25 as of Mar 24, 2026
Mar 28, 201320 then
Employees (5.A)60 as of Mar 24, 2026
Mar 28, 201335 then
Private funds: no history
RAUM +5.5% over the last fiscal year+11% a year over threeIARs 25 to 25
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $234MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 51derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 39%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 13.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.6%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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$1.9B33%
- State and municipal entities$1.0B18%
- Corporations and businesses$824M14%
- Pension and profit-sharing plans$717M12%
- Charitable organizations$415M7.2%
- Investment companies$351M6.1%
- Individuals$321M5.5%
- Insurance companies$204M3.5%
- Banks and thrifts$123,9980.0%
- Individual clients
- 620reported
- HNW clients
- 710reported
- Pension plan clients
- 41reported
- Charitable clients
- 68reported
- Accounts
- 3,979reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $1.3B managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.37 fund_share=0.06 institutional_share=0.39 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
26 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Marc Andre Kamber | Seattle, Wa | Jul 5, 1991 | 35 y | 0 |
| Michael Christopher StewartChartered Financial Analyst | Brookfield, Wi | Jul 11, 1995 | 31 y | 0 |
| Jerome Joseph VeranthChartered Financial Analyst | Waukesha, Wi | Sep 17, 2002 | 31 y | 0 |
| Robert Glen LeutyChartered Financial Analyst | Brookfield, Wi | Jun 25, 2004 | 25 y | 0 |
| Noaman A.Q. Sharief | Waukesha, Wi | May 21, 2009 | 25 y | 1 |
| Lori Anne Salyers | Waukesha, Wi | Jul 2, 2009 | 19 y | 0 |
| Duane Rudolph RobertsChartered Financial Analyst | Irving, Tx | Nov 10, 2009 | 26 y | 2 |
| Gregory Alan DahlmanChartered Financial Analyst | Waukesha, Wi | Nov 17, 2009 | 31 y | 1 |
| David M StammChartered Financial Analyst | Waukesha, Wi | Jul 30, 2010 | 19 y | 0 |
| Matthew Robert Slowinski | Waukesha, Wi | Sep 6, 2010 | 21 y | 0 |
| Rocco Joseph Fiordelisi | Webster Groves, Mo | Mar 6, 2015 | 37 y | 3 |
| Steven Allen JaegerCertified Financial Planner, Chartered Financial Consultant | Waukesha, Wi | Mar 2, 2021 | 37 y | 0 |
| Sean Andrew McleodChartered Financial Analyst | Waukesha, Wi | Nov 30, 2021 | 28 y | 1 |
| James Charles Janikowski | Milwaukee, Wi | Jun 1, 2022 | 44 y | 1 |
| Jeffry J BrigmanCertified Financial Planner | Milwaukee, Wi | Jun 1, 2022 | 45 y | 1 |
| Garrett Joseph Brigman | Milwaukee, Wi | Jun 1, 2022 | 12 y | 1 |
| Thomas J Wickman | Milwaukee, Wi | Jun 1, 2022 | 46 y | 1 |
| Shane David Morris | Colorado Springs, Co | Oct 7, 2022 | 19 y | 1 |
| David Brandt Weinstein | Waukesha, Wi | Sep 30, 2024 | 13 y | 0 |
| Mark Richard Mirsberger | Waukesha, Wi | Jan 1, 2025 | 34 y | 0 |
| Brian Victor Lehky | Waukesha, Wi | Jan 1, 2025 | 18 y | 0 |
| James Michael Mirsberger | Waukesha, Wi | Feb 28, 2025 | 31 y | 0 |
| Daniel Glenn SieversChartered Financial Analyst | Waukesha, Wi | Jan 5, 2026 | 17 y | 3 |
| Michael Richard HonkampChartered Financial Analyst | Brookfield, Wi | Jan 5, 2026 | 32 y | 0 |
| Mikhail I AlkhazovChartered Financial Analyst | Waukesha, Wi | Jan 5, 2026 | 23 y | 1 |
| Daniel Brook Wanzenberg | Waukesha, Wi | May 21, 2026 | 31 y | 6 |
Advisor movement
0 left, 3 joined in 12 months
net +3 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Duane Rudolph Roberts to Cimarron Asset Management, LLCMay 31, 2006 · Other
- David Allan Kania to Transamerica Investment Management, LLCAug 11, 2004 · Other
Joined, latest
- Daniel Brook Wanzenberg from Moody Aldrich Partners, LLCMay 21, 2026 · RIA to RIA
- Mikhail I Alkhazov from Ziegler Capital Management, LLCJan 5, 2026 · RIA to RIA
- Daniel Glenn Sievers from Sawbill Capital LLCJan 5, 2026 · Other
- Shane David Morris from Primerica AdvisorsOct 7, 2022 · Affiliated broker-dealer or bank to independent RIA
- Thomas J Wickman from Legacy Capital Partners, Inc.Jun 1, 2022 · RIA to RIA
- Garrett Joseph Brigman from Legacy Capital Partners, Inc.Jun 1, 2022 · RIA to RIA
- James Charles Janikowski from Legacy Capital Partners, Inc.Jun 1, 2022 · RIA to RIA
- Jeffry J Brigman from Legacy Capital Partners, Inc.Jun 1, 2022 · RIA to RIA
- Sean Andrew Mcleod from M&I Investment Management Corp.Nov 30, 2021 · Other
- Rocco Joseph Fiordelisi from Wells Fargo AdvisorsMar 6, 2015 · Other
- Gregory Alan Dahlman from Morgan Dempsey Capital Management LLCNov 17, 2009 · Other
- Duane Rudolph Roberts from Cimarron Asset Management, LLCNov 10, 2009 · Other
- Noaman A.Q. Sharief from Sovereign AdvisersMay 21, 2009 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from Legacy Capital Partners, Inc.Jun 3, 2022 · Milwaukee, Wi · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Richard Mark Mirsberger · Ceo, Coo & Treasurercontrolsince 12/2003 · owns 25% to 50%
- Rudolph Duane Roberts · Director Of Faith And Values- Based Strategiescontrolsince 10/2025 · owns 5% to 10%
- Michael Stewart · Executive Vice President, Chiefcontrolsince 09/2006 · owns less than 5%
- Joseph Jerome Veranth · Executive Vice President, Chief Investment Officercontrolsince 01/2006 · owns 10% to 25%
- I Mikhail Alkhazov · Senior Vice President And Portfolio Managersince 10/2025 · owns less than 5%
- Joseph Garrett Brigman · Vice President, Wealth Managementsince 10/2025 · owns less than 5%
- J Jeffry Brigman · Senior Vice Presidentsince 05/2022 · owns less than 5%
- George William Charcalis · Managing Director, Executive Vice President And Senior Portfolio Managersince 03/2024 · owns less than 5%
- Wayne Douglas Classen · Senior Vice Presidentsince 09/1994 · owns less than 5%
- Alan Gregory Dahlman · Senior Vice Presidentsince 02/2006 · owns less than 5%
- Richard Michael Honkamp · Senior Vice Presidentsince 03/2005 · owns less than 5%
- Allen Steven Jaeger · Vice President, Wealth Managementsince 10/2025 · owns less than 5%
- Charles James Janikowski · Senior Vice Presidentsince 05/2022 · owns less than 5%
- Andre Marc Kamber · Executive Vice Presidentsince 02/1991 · owns less than 5%
- Brian Jay Kaun · Senior Vice Presidentsince 07/2015 · owns less than 5%
- Victor Brian Lehky · Senior Vice Presidentsince 09/2018 · owns less than 5%
- Glen Robert Leuty · Director Of Fixed Incomesince 12/2016 · owns less than 5%
- Andrew Sean Mcleod · Senior Vice President And Portfolio Managersince 10/2025 · owns less than 5%
- Michael James Mirsberger · Investment Advisor Representativesince 11/2024 · owns less than 5%
- Anne Lori Salyers · Vice President - Compliancesince 10/2025 · owns less than 5%
- A.Q. Noaman Sharief · Senior Vice Presidentsince 09/2018 · owns less than 5%
- Glenn Daniel Sievers · Vice President And Equity Portfolio Managersince 04/2025 · owns less than 5%
- Robert Matthew Slowinski · Senior Vice Presidentsince 09/2018 · owns less than 5%
- M David Stamm · Senior Vice Presidentsince 07/2009 · owns less than 5%
- Brandt David Weinstein · Senior Vice President And Portfolio Managersince 01/2021 · owns less than 5%
- J Thomas Wickman · Senior Vice Presidentsince 05/2022 · owns less than 5%
Entity owners
- Stewart Family Irrevocable · Trustdirect · owns 5% to 10%
- Stewart Family Irrevocable Trust · Trustdirect · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Waukesha, Wi · principal | 15 | 3 | 0 | ||
| Milwaukee, Wi | 4 | 0 | 0 | ||
| Brookfield, Wi | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- New York, NY2 employees
What changed
consecutive filings, newest first
- Accounts · 3,699 to 3,979Mar 28, 2025 to Mar 24, 2026
- Advisory employees · 27 to 28Mar 28, 2025 to Mar 24, 2026
- Charity clients · 70 to 68Mar 28, 2025 to Mar 24, 2026
- Corporate clients · 120 to 103Mar 28, 2025 to Mar 24, 2026
- HNW clients · 764 to 710Mar 28, 2025 to Mar 24, 2026
- Individual clients · 630 to 620Mar 28, 2025 to Mar 24, 2026
- Pension plan clients · 46 to 41Mar 28, 2025 to Mar 24, 2026
- Employees · 62 to 60Mar 28, 2025 to Mar 24, 2026
- Discretionary RAUM · $5.2B to $5.5BMar 28, 2025 to Mar 24, 2026
- HNW RAUM · $1.8B to $1.9BMar 28, 2025 to Mar 24, 2026
- Individual RAUM · $290M to $321MMar 28, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $568M to $556MMar 28, 2025 to Mar 24, 2026
- Pension RAUM · $672M to $717MMar 28, 2025 to Mar 24, 2026
- RAUM · $5.8B to $6.1BMar 28, 2025 to Mar 24, 2026
- Wrap assets (manager) · $1.4B to $1.3BMar 28, 2025 to Mar 24, 2026
- Accounts · 3,327 to 3,699Mar 21, 2024 to Mar 28, 2025
- Charity clients · 69 to 70Mar 21, 2024 to Mar 28, 2025
- Corporate clients · 115 to 120Mar 21, 2024 to Mar 28, 2025
- HNW clients · 741 to 764Mar 21, 2024 to Mar 28, 2025
- Individual clients · 586 to 630Mar 21, 2024 to Mar 28, 2025
- Pension plan clients · 26 to 46Mar 21, 2024 to Mar 28, 2025
- Employees · 61 to 62Mar 21, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 21, 2024 to Mar 28, 2025
- State-registered IARs · 24 to 25Mar 21, 2024 to Mar 28, 2025
- Discretionary RAUM · $4.0B to $5.2BMar 21, 2024 to Mar 28, 2025
- HNW RAUM · $1.5B to $1.8BMar 21, 2024 to Mar 28, 2025
- Individual RAUM · $246M to $290MMar 21, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $542M to $568MMar 21, 2024 to Mar 28, 2025
- Pension RAUM · $281M to $672MMar 21, 2024 to Mar 28, 2025
- RAUM · $4.5B to $5.8BMar 21, 2024 to Mar 28, 2025
- Wrap assets (manager) · $1.1B to $1.4BMar 21, 2024 to Mar 28, 2025
- Accounts · 3,269 to 3,327Mar 30, 2023 to Mar 21, 2024
- Advisory employees · 23 to 27Mar 30, 2023 to Mar 21, 2024
- Charity clients · 92 to 69Mar 30, 2023 to Mar 21, 2024
- Corporate clients · 85 to 115Mar 30, 2023 to Mar 21, 2024
- HNW clients · 695 to 741Mar 30, 2023 to Mar 21, 2024
- Individual clients · 583 to 586Mar 30, 2023 to Mar 21, 2024
- Pension plan clients · 31 to 26Mar 30, 2023 to Mar 21, 2024
- Employees · 53 to 61Mar 30, 2023 to Mar 21, 2024
- State-registered IARs · 23 to 24Mar 30, 2023 to Mar 21, 2024
Signals
4 dated events
- Dana Investment Advisors Inc reported RAUM $5.8B, up 28% from $4.5B (2024-03-21 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- Legacy Capital Partners, Inc.'s advisors moved to Dana Investment Advisors Inc (Milwaukee, WI): 4 of 4 registered, within 3 daysJun 3, 2022 · Firm absorbed (people side) · derived
- Dana Investment Advisors Inc reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 30, 2022 · Succession (Item 4) · fact
- Dana Investment Advisors Inc reported RAUM $4.9B, down 32% from $7.2B (2017-03-15 to 2018-03-29)Mar 29, 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.
How to reach
public business contact points only, each with its source
- Business phone
- 866-991-5811reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/dana-investment-advisorsreportedpublic record, Form ADV, Sep 17, 2026
- Website
- danaetfs.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 262-782-3631reportedpublic record, Form ADV, Mar 24, 2026
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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $234Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026