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
Financial Service Group Inc
Latest filing Sep 10, 2026
First filing on the tape Mar 13, 2012 · 29 filings
SEC status approved since Aug 3, 1992
RAUM
$215M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$215M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$53.7M
derived; firm RAUM over IAPD count
Employees
8
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$215M as of Jan 23, 2026
Mar 13, 2012$105M then
HNW client RAUM$147M as of Jan 23, 2026
Jan 30, 2018$140M then
State-registered IARs (5.B.3)3 as of Jan 23, 2026
Mar 13, 20120 then
Employees (5.A)8 as of Jan 23, 2026
Mar 28, 20135 then
Private funds: no history
RAUM -34% over the last fiscal year-10% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Sep 10, 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
- RAUM per advisor
- $53.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 48derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $333,326derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -34%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -24%derived
- Compensation
- hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$147M68%
- Individuals$67.9M32%
- Individual clients
- 118reported
- HNW clients
- 74reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 645reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Michael Phillip HaubrichCertified Financial Planner | Racine, Wi | Sep 21, 2021 | 47 y | 0 |
| Vincent A TortoriciCertified Financial Planner | Mount Pleasant, Wi | Feb 14, 2022 | 11 y | 2 |
| Thomas Joseph KiernanCertified Financial Planner | Mount Pleasant, Wi | Feb 5, 2024 | 13 y | 1 |
| Wendy Sue PeperkornCertified Financial Planner | Wauwatosa, Wi | Nov 14, 2024 | 13 y | 5 |
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 headcount1 left over 36 months
Left, latest
- Justus Baron Morgan to Financial JustusAug 6, 2025 · RIA to a newly registered adviser
- Brittany Lynn Falkner to Liberty Financial Group, Inc.Feb 22, 2019 · Other
Joined, latest
- Thomas Joseph Kiernan from Pruco Securities, LLCFeb 5, 2024 · Affiliated broker-dealer or bank to independent RIA
- Vincent A Tortorici from Vanguard Advisers, Inc.Feb 14, 2022 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Phillip Michael Haubrich · Foundercontrolsince 02/2022 · owns 50% to 75%
- Baron Justus Morgan · President And Chief Compliance Officercontrolsince 03/2004 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Mount Pleasant, Wi · principal | 3 | 1 | 0 | ||
| Racine, Wi | 1 | 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
- RAUM down 25 %Change between filings · filing Jan 23, 2026RAUM (Item 5.F) moved from $324,696,730 to $214,995,359 (-34.0%) between the annual amendments of 2025-01-30 and 2026-01-23; the peer median change was +15.0% (4551 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,551) · 1.1% percentile
What changed
consecutive filings, newest first
- Financial planning clients · 101-250 to 101-250Jan 23, 2026 to Sep 10, 2026
- Related adviser · false to unsetJan 23, 2026 to Sep 10, 2026
- Related bank · false to unsetJan 23, 2026 to Sep 10, 2026
- Related broker-dealer · false to unsetJan 23, 2026 to Sep 10, 2026
- Related insurance company · false to unsetJan 23, 2026 to Sep 10, 2026
- Succession · false to unsetJan 23, 2026 to Sep 10, 2026
- Accounts · 909 to 645Oct 1, 2025 to Jan 23, 2026
- HNW clients · 105 to 74Oct 1, 2025 to Jan 23, 2026
- Individual clients · 148 to 118Oct 1, 2025 to Jan 23, 2026
- Employees · 9 to 8Oct 1, 2025 to Jan 23, 2026
- Financial planning clients · 251-500 to 101-250Oct 1, 2025 to Jan 23, 2026
- Discretionary RAUM · $325M to $215MOct 1, 2025 to Jan 23, 2026
- HNW RAUM · $241M to $147MOct 1, 2025 to Jan 23, 2026
- Individual RAUM · $84.0M to $67.9MOct 1, 2025 to Jan 23, 2026
- RAUM · $325M to $215MOct 1, 2025 to Jan 23, 2026
- Employees · 10 to 9Aug 6, 2025 to Oct 1, 2025
- Accounts · 891 to 909Oct 18, 2024 to Jan 30, 2025
- HNW clients · 85 to 105Oct 18, 2024 to Jan 30, 2025
- Individual clients · 168 to 148Oct 18, 2024 to Jan 30, 2025
- Employees · 9 to 10Oct 18, 2024 to Jan 30, 2025
- Financial planning clients · 251-500 to 251-500Oct 18, 2024 to Jan 30, 2025
- Discretionary RAUM · $284M to $325MOct 18, 2024 to Jan 30, 2025
- HNW RAUM · $187M to $241MOct 18, 2024 to Jan 30, 2025
- Individual RAUM · $97.6M to $84.0MOct 18, 2024 to Jan 30, 2025
- RAUM · $284M to $325MOct 18, 2024 to Jan 30, 2025
- Accounts · 1,107 to 891Jun 12, 2023 to Feb 15, 2024
- HNW clients · 95 to 85Jun 12, 2023 to Feb 15, 2024
- Individual clients · 167 to 168Jun 12, 2023 to Feb 15, 2024
- Employees · 8 to 9Jun 12, 2023 to Feb 15, 2024
- Discretionary RAUM · $296M to $284MJun 12, 2023 to Feb 15, 2024
- HNW RAUM · $198M to $187MJun 12, 2023 to Feb 15, 2024
- Individual RAUM · $97.9M to $97.6MJun 12, 2023 to Feb 15, 2024
- RAUM · $296M to $284MJun 12, 2023 to Feb 15, 2024
- Advisory employees · 4 to 3Jan 26, 2023 to Jun 12, 2023
- Employees · 9 to 8Jan 26, 2023 to Jun 12, 2023
- State-registered IARs · 4 to 3Jan 26, 2023 to Jun 12, 2023
- Accounts · 1,059 to 1,107Jun 7, 2022 to Jan 26, 2023
- HNW clients · 114 to 95Jun 7, 2022 to Jan 26, 2023
- Individual clients · 139 to 167Jun 7, 2022 to Jan 26, 2023
- Discretionary RAUM · $334M to $296MJun 7, 2022 to Jan 26, 2023
Signals
3 dated events
- Financial Service Group Inc reported RAUM $215.0M, down 34% from $324.7M (2025-10-01 to 2026-01-23)Jan 23, 2026 · RAUM change · derived
- Justus Baron Morgan left Financial Service Group Inc for Financial Justus (registered 2025-06-23)Aug 6, 2025 · Advisor changed firm · fact
- Michael Justin Moilanen (Vice President) no longer on Schedule A of Financial Service Group Inc (listed 2023-01-26, absent 2023-06-12)Jun 12, 2023 · Control person left · inference
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
- 262-554-1907reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 262-554-4500reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-420-4500reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/2414821reportedpublic record, Form ADV, Sep 17, 2026
- Website
- TOYOURWEALTH.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 262-554-4500reportedpublic record, Form ADV, Sep 10, 2026
- Team page
- toyourwealth.com/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $53.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026