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
A••••••••• F•••••••• A••••••• I••
Latest filing Feb 27, 2026
First filing on the tape Nov 29, 2011 · 18 filings
SEC status approved since Apr 21, 2000
RAUM
$541M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$541M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$180M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$541M as of Feb 27, 2026
Feb 9, 2012$101M then
HNW client RAUM$372M as of Feb 27, 2026
Mar 29, 2018$104M then
State-registered IARs (5.B.3)0 as of Feb 27, 2026
Feb 9, 20120 then
Employees (5.A)4 as of Feb 27, 2026
Feb 1, 20133 then
Private funds: no history
RAUM +17% over the last fiscal year+17% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 27, 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
- $180MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 299derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $245,346derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%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
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.7%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$372M69%
- Individuals$170M31%
- Individual clients
- 720reported
- HNW clients
- 178reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2,207reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G••••• M•••••• S•••••••• | Milwaukee, Wi | Jun 1, 2000 | 41 y | 1 |
| J•••• V••• V••••••Certified Financial Planner | Milwaukee, Wi | Jul 13, 2004 | 24 y | 1 |
| D••• M•••• M•• | Milwaukee, Wi | Dec 7, 2020 | 38 y | 2 |
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
- M•••••• T• D••••• to D•••• L••• F•••••••• L••Dec 11, 2023 · RIA to a state-registered adviser
Joined, latest
- D••• M•••• M•• from C••••• • A••••••••• I•••Dec 7, 2020 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••••• G•••••• M•••••• · Director, President, Ceo And Chief Compliance Officercontrolsince 12/1992 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Milwaukee, Wi · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Feb 27, 2026discretionary share of RAUM of 0% against a peer median of 99% (1482 comparable advisers, 0.0th percentile, 33.5 robust deviations)peers: independent wealth managers, $500M to $1B (1,482) · 0.0% percentile
- unusually high clients per advisorStatic outlier · filing Feb 27, 2026private clients per advisor of 299.3 against a peer median of 63.5 (1211 comparable advisers, 99.0th percentile, 6.4 robust deviations)peers: independent wealth managers, $500M to $1B (1,211) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 2,129 to 2,207Mar 28, 2025 to Feb 27, 2026
- HNW clients · 141 to 178Mar 28, 2025 to Feb 27, 2026
- Individual clients · 733 to 720Mar 28, 2025 to Feb 27, 2026
- HNW RAUM · $295M to $372MMar 28, 2025 to Feb 27, 2026
- Individual RAUM · $167M to $170MMar 28, 2025 to Feb 27, 2026
- Non-discretionary RAUM · $462M to $541MMar 28, 2025 to Feb 27, 2026
- RAUM · $462M to $541MMar 28, 2025 to Feb 27, 2026
- Accounts · 2,077 to 2,129Mar 28, 2024 to Mar 28, 2025
- HNW clients · 144 to 141Mar 28, 2024 to Mar 28, 2025
- Individual clients · 606 to 733Mar 28, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0Mar 28, 2024 to Mar 28, 2025
- HNW RAUM · $247M to $295MMar 28, 2024 to Mar 28, 2025
- Individual RAUM · $158M to $167MMar 28, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $404M to $462MMar 28, 2024 to Mar 28, 2025
- RAUM · $404M to $462MMar 28, 2024 to Mar 28, 2025
- Accounts · 2,089 to 2,077Mar 24, 2023 to Mar 28, 2024
- HNW clients · 140 to 144Mar 24, 2023 to Mar 28, 2024
- Individual clients · 586 to 606Mar 24, 2023 to Mar 28, 2024
- HNW RAUM · $222M to $247MMar 24, 2023 to Mar 28, 2024
- Individual RAUM · $118M to $158MMar 24, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $341M to $404MMar 24, 2023 to Mar 28, 2024
- RAUM · $341M to $404MMar 24, 2023 to Mar 28, 2024
- Accounts · 1,919 to 2,089Mar 22, 2022 to Mar 24, 2023
- Advisory employees · 3 to 4Mar 22, 2022 to Mar 24, 2023
- Individual clients · 610 to 586Mar 22, 2022 to Mar 24, 2023
- HNW RAUM · $257M to $222MMar 22, 2022 to Mar 24, 2023
- Individual RAUM · $129M to $118MMar 22, 2022 to Mar 24, 2023
- Non-discretionary RAUM · $386M to $341MMar 22, 2022 to Mar 24, 2023
- RAUM · $386M to $341MMar 22, 2022 to Mar 24, 2023
- Accounts · 1,870 to 1,919Mar 26, 2021 to Mar 22, 2022
- HNW clients · 109 to 140Mar 26, 2021 to Mar 22, 2022
- Individual clients · 641 to 610Mar 26, 2021 to Mar 22, 2022
- HNW RAUM · $191M to $257MMar 26, 2021 to Mar 22, 2022
- Individual RAUM · $124M to $129MMar 26, 2021 to Mar 22, 2022
- Non-discretionary RAUM · $315M to $386MMar 26, 2021 to Mar 22, 2022
- RAUM · $315M to $386MMar 26, 2021 to Mar 22, 2022
- Accounts · 1,770 to 1,870Jul 31, 2020 to Mar 26, 2021
- HNW clients · 107 to 109Jul 31, 2020 to Mar 26, 2021
- Individual clients · 524 to 641Jul 31, 2020 to Mar 26, 2021
- Employees · 3 to 4Jul 31, 2020 to Mar 26, 2021
Signals
1 dated events
- M•••••• T• D••••• left A••••••••• F•••••••• A••••••• I•• for D•••• L••• F•••••••• L•• (registered 2024-02-12)Dec 11, 2023 · Advisor changed firm · fact
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 email
- i•••@a•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 414-476-4999reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 414-476-4889reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- A•••••••••FA.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 414-476-4999reportedpublic record, Form ADV, Feb 27, 2026
- Contact form
- a•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- a•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $180Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026