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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

P•••••• M••••••••• I••

Former SEC-registered adviserMilwaukee, WisconsinCRD 106974SEC 801-49007IAPD
Latest filing Feb 19, 2015
First filing on the tape Feb 1, 2012 · 9 filings
RAUM
$318M
reported, Item 5.F
Discretionary
91%
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
10
9 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$318M as of Feb 19, 2015
Feb 1, 2012$5.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)8 as of Feb 19, 2015
Mar 28, 20138 then
Employees (5.A)10 as of Feb 19, 2015
Mar 28, 201312 then
Private funds: no history
RAUM -23% over the last fiscal year-61% a year over threeIARs 12 to 8
Practice profile
derived from the filing of Feb 19, 2015; every figure names its basis
RAUM per advisor
$39.7MderivedRAUM 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
$1.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
91%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
2.7derived3 offices incl. principal (1.F.5)
RAUM growth, one year
-23%derivedbetween the last two annual amendments
Advisor growth, one year
-33%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 5.G
Custody
yesreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • a related person acts as qualified custodian (9.D.2)
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
287reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
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
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • E••••• M•••• A••••• · Director, Chief Executive Officercontrol
      since 02/1980 · owns less than 5%
    • H•••• T••••• O• · President, Chief Investment Officer, Chief Operating Officer, Directorcontrol
      since 11/2013 · owns less than 5%
    • J••••••• T•••• C• · Directorcontrol
      since 01/2004 · owns less than 5%
    • W•••••• M•••••• · Directorcontrol
      since 10/2002 · owns less than 5%
    • H••••••••• C••••• M•••••• · Trusteecontrol
      since 01/2007 · owns F of U••• F•••••••• S•••••••• I••• E••••••• S•••• O•••••••• P•••
    • C•••••• S••••• M•••••• · Chief Compliance Officer, Senior Vice President
      since 01/2012 · owns less than 5%
    Entity owners
    • U••• F•••••••• S•••••••• I••• · Sole Direct Owner Holding Company
      direct · owns 75% or more
    • U••• F•••••••• S•••••••• I••• E••••••• S•••• O•••••••• P••• · Shareholder
      indirect · owns 75% or more of U••• F•••••••• S•••••••• I•••
    Related persons
    Schedule D 7.A
    • G•••••••• T•••• C••••••
      pooled vehicle sponsorcustodiann
    • S•••• T•••• C••••••
      custodiann
    Offices
    Schedule D 1.F, the 25 largest
    • Lisle, IL
    • Tampa, FL
    What changed
    consecutive filings, newest first
    • Accounts · 349 to 287
      Sep 29, 2014 to Feb 19, 2015
    • Advisory employees · 12 to 9
      Sep 29, 2014 to Feb 19, 2015
    • Advisory activities · 4 to 3
      Sep 29, 2014 to Feb 19, 2015
    • Employees · 16 to 10
      Sep 29, 2014 to Feb 19, 2015
    • State-registered IARs · 12 to 8
      Sep 29, 2014 to Feb 19, 2015
    • Discretionary RAUM · $314M to $289M
      Sep 29, 2014 to Feb 19, 2015
    • Non-discretionary RAUM · $98.6M to $29.2M
      Sep 29, 2014 to Feb 19, 2015
    • RAUM · $413M to $318M
      Sep 29, 2014 to Feb 19, 2015
    • Related adviser · true to false
      Sep 29, 2014 to Feb 19, 2015
    • Accounts · 394 to 349
      Jan 2, 2014 to Mar 21, 2014
    • Advisory employees · 9 to 12
      Jan 2, 2014 to Mar 21, 2014
    • Employees · 12 to 16
      Jan 2, 2014 to Mar 21, 2014
    • State-registered IARs · 8 to 12
      Jan 2, 2014 to Mar 21, 2014
    • Discretionary RAUM · $270M to $314M
      Jan 2, 2014 to Mar 21, 2014
    • Non-discretionary RAUM · $198M to $98.6M
      Jan 2, 2014 to Mar 21, 2014
    • RAUM · $468M to $413M
      Jan 2, 2014 to Mar 21, 2014
    • Related adviser · false to true
      Jan 2, 2014 to Mar 21, 2014
    • Accounts · 646 to 394
      Apr 18, 2012 to Mar 28, 2013
    • Advisory employees · unset to 9.0
      Apr 18, 2012 to Mar 28, 2013
    • Advisory activities · 6 to 4
      Apr 18, 2012 to Mar 28, 2013
    • Custody of client assets · false to true
      Apr 18, 2012 to Mar 28, 2013
    • Employees · unset to 12.0
      Apr 18, 2012 to Mar 28, 2013
    • State-registered IARs · unset to 8.0
      Apr 18, 2012 to Mar 28, 2013
    • Discretionary RAUM · $2.7B to $270M
      Apr 18, 2012 to Mar 28, 2013
    • Non-discretionary RAUM · $2.9B to $198M
      Apr 18, 2012 to Mar 28, 2013
    • RAUM · $5.5B to $468M
      Apr 18, 2012 to Mar 28, 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