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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SEC-registered adviser
S••••••• C•••••• M••••••••• I••
Latest filing Mar 24, 2026
First filing on the tape Mar 30, 2012 · 19 filings
SEC status approved since Mar 24, 1997
RAUM
$297M
reported, Item 5.F
Discretionary
77%
of RAUM
Private clients
77%
$227M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$148M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$297M as of Mar 24, 2026
Mar 30, 2012$122M then
HNW client RAUM$182M as of Mar 24, 2026
Apr 2, 2018$63.0M then
State-registered IARs (5.B.3)0 as of Mar 24, 2026
Mar 30, 20120 then
Employees (5.A)3 as of Mar 24, 2026
Mar 20, 20133 then
Private funds1 as of Mar 30, 2022
Mar 20, 20131 then
RAUM +16% over the last fiscal year+19% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $148MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 167derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $765,327derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 77%derivedof RAUM
- Institutional
- 21%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -5.4%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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
- High-net-worth individuals$182M62%
- Charitable organizations$60.1M21%
- Individuals$45.6M16%
- Corporations and businesses$3.6M1.2%
- Pension and profit-sharing plans$2.1M0.7%
- Individual clients
- 210reported
- HNW clients
- 123reported
- Pension plan clients
- 2reported
- Charitable clients
- 5reported
- Accounts
- 388reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.77 fund_share=0.0 institutional_share=0.21 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• J••• P••••Certified Financial Planner | Brookfield, Wi | Nov 7, 1997 | 42 y | 1 |
| E•••••• G•••••••• | Brookfield, Wi | May 7, 2025 | 13 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••••••• C•••••• P•••••••• L•••no longer reported | Hedge Fund | $743,000 | 4 | Mar 20, 2013 |
Owners and control persons
Schedule A and B, latest filing
- P••••• T•••••• J••• · Ceo/Chief Compliance Officercontrolsince 10/2023 · owns 75% or more
- P••••• T••••••• J••• · Presidentcontrolsince 10/2023 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Brookfield, Wi · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 24, 2026custody of client assets (Item 9.A): yes on the filing of 2025-03-31, no on the filing of 2026-03-24peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 413 to 388Mar 31, 2025 to Mar 24, 2026
- Advisory employees · 2 to 3Mar 31, 2025 to Mar 24, 2026
- Charity clients · 3 to 5Mar 31, 2025 to Mar 24, 2026
- Corporate clients · 5 to 7Mar 31, 2025 to Mar 24, 2026
- HNW clients · 143 to 123Mar 31, 2025 to Mar 24, 2026
- Individual clients · 209 to 210Mar 31, 2025 to Mar 24, 2026
- Assets in custody · 139000.0 to unsetMar 31, 2025 to Mar 24, 2026
- Custody of client assets · true to falseMar 31, 2025 to Mar 24, 2026
- Insurance-licensed employees · 0 to 3Mar 31, 2025 to Mar 24, 2026
- Financial planning clients · 11-25 to 101-250Mar 31, 2025 to Mar 24, 2026
- Discretionary RAUM · $190M to $227MMar 31, 2025 to Mar 24, 2026
- HNW RAUM · $157M to $182MMar 31, 2025 to Mar 24, 2026
- Individual RAUM · $43.7M to $45.6MMar 31, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $65.1M to $69.6MMar 31, 2025 to Mar 24, 2026
- Pension RAUM · $3.6M to $2.1MMar 31, 2025 to Mar 24, 2026
- RAUM · $255M to $297MMar 31, 2025 to Mar 24, 2026
- Accounts · 388 to 413Mar 29, 2024 to Mar 31, 2025
- Corporate clients · 3 to 5Mar 29, 2024 to Mar 31, 2025
- HNW clients · 59 to 143Mar 29, 2024 to Mar 31, 2025
- Individual clients · 321 to 209Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · 11-25 to 11-25Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $153M to $190MMar 29, 2024 to Mar 31, 2025
- HNW RAUM · $86.9M to $157MMar 29, 2024 to Mar 31, 2025
- Individual RAUM · $76.1M to $43.7MMar 29, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $61.3M to $65.1MMar 29, 2024 to Mar 31, 2025
- Pension RAUM · $3.5M to $3.6MMar 29, 2024 to Mar 31, 2025
- RAUM · $214M to $255MMar 29, 2024 to Mar 31, 2025
- Accounts · 348 to 388Mar 30, 2023 to Mar 29, 2024
- Charity clients · unset to 3.0Mar 30, 2023 to Mar 29, 2024
- Corporate clients · unset to 3.0Mar 30, 2023 to Mar 29, 2024
- HNW clients · 63 to 59Mar 30, 2023 to Mar 29, 2024
- Individual clients · 285 to 321Mar 30, 2023 to Mar 29, 2024
- Pension plan clients · unset to 2.0Mar 30, 2023 to Mar 29, 2024
- Financial planning clients · 101-250 to 11-25Mar 30, 2023 to Mar 29, 2024
- State-registered IARs · 2 to 0Mar 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $122M to $153MMar 30, 2023 to Mar 29, 2024
- HNW RAUM · $68.2M to $86.9MMar 30, 2023 to Mar 29, 2024
- Individual RAUM · $62.5M to $76.1MMar 30, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $53.5M to $61.3MMar 30, 2023 to Mar 29, 2024
- Pension RAUM · $1.1M to $3.5MMar 30, 2023 to Mar 29, 2024
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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 262-970-9700reportedpublic 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $148Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026