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
M••••••• I••••••••• P•••••••• L••
Latest filing Sep 16, 2026
First filing on the tape Dec 20, 2011 · 24 filings
SEC status approved since Jan 20, 2000
RAUM
$684M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
91%
$622M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$97.7M
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$684M as of Mar 24, 2026
Mar 29, 2012$341M then
HNW client RAUM$576M as of Mar 24, 2026
Mar 29, 2018$440M then
State-registered IARs (5.B.3)7 as of Mar 24, 2026
Mar 29, 20120 then
Employees (5.A)8 as of Mar 24, 2026
Mar 21, 201311 then
Private funds: no history
RAUM +13% over the last fiscal year+12% a year over threeIARs 4 to 6
Practice profile
derived from the filing of Sep 16, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $114MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 23derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $10.5MderivedHNW RAUM over HNW clients
- Average account
- $4.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 8.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +75%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $250M, 72 clientsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$576M84%
- Charitable organizations$51.0M7.5%
- Individuals$46.1M6.7%
- Corporations and businesses$6.3M0.9%
- Insurance companies$4.8M0.7%
- Individual clients
- 82reported
- HNW clients
- 55reported
- Pension plan clients
- n/areported
- Charitable clients
- 10reported
- Accounts
- 151reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $250M for 72 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.91 fund_share=0.0 institutional_share=0.08 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• T•••••••• E•••• | Milwaukee, Wi | Feb 16, 2000 | 32 y | 0 |
| J••••••• A••••• S•••••• | Milwaukee, Wi | Feb 15, 2013 | 13 y | 0 |
| M••• T•••••• A•••••Certified Financial Planner | Milwaukee, Wi | Nov 19, 2019 | 20 y | 0 |
| A••••• K• G•••• | Milwaukee, Wi | Oct 17, 2024 | 12 y | 0 |
| R••••• C••••••••• D••••• | Milwaukee, Wi | Dec 13, 2024 | 14 y | 0 |
| L••• J••• B•••• | Milwaukee, Wi | May 1, 2025 | 26 y | 0 |
| C•••••• P•••••• E•••• | Milwaukee, Wi | May 29, 2025 | 11 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
- K••••••• D••••••••• to P•••• I•••Feb 26, 2014 · Other
- B•••• R••••• L••••• to B•••• T•••• I••••••••• A•••••••Mar 6, 2012 · Other
Joined, latest
- K••••••• D••••••••• from S••••• C•••••• M••••••••• I••Apr 21, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• M•••• T•••••• · Portfolio Manager And Membercontrolsince 01/2016 · owns 10% to 25%
- B••••• L•••• J• · Director Of Operations And Membercontrolsince 03/2000 · owns 10% to 25%
- D•••••• R•••••• C••••••••• · Chief Compliance Officer, Portfolio Manager And Membercontrolsince 03/2013 · owns 10% to 25%
- E••••• C••••••• P•••••• · Associate Director And Membercontrolsince 03/2012 · owns 10% to 25%
- E••••• J•••• T•••••••• · Managing Directorcontrolsince 02/2000 · owns less than 5%
- G••••• A•••••• K• · Senior Portfolio Administrator And Membercontrolsince 08/2019 · owns 10% to 25%
- S••••••• J•••••••• A••••• · Portfolio Manager And Membercontrolsince 01/2018 · owns 10% to 25%
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 | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 4 to 3Mar 24, 2026 to Sep 16, 2026
- Employees · 8 to 7Mar 24, 2026 to Sep 16, 2026
- Financial planning clients · to unsetMar 24, 2026 to Sep 16, 2026
- State-registered IARs · 7 to 6Mar 24, 2026 to Sep 16, 2026
- Related adviser · false to unsetMar 24, 2026 to Sep 16, 2026
- Related bank · false to unsetMar 24, 2026 to Sep 16, 2026
- Related broker-dealer · false to unsetMar 24, 2026 to Sep 16, 2026
- Related insurance company · false to unsetMar 24, 2026 to Sep 16, 2026
- Succession · false to unsetMar 24, 2026 to Sep 16, 2026
- Accounts · 144 to 151Oct 23, 2025 to Mar 24, 2026
- Charity clients · 6 to 10Oct 23, 2025 to Mar 24, 2026
- HNW clients · 56 to 55Oct 23, 2025 to Mar 24, 2026
- Individual clients · 77 to 82Oct 23, 2025 to Mar 24, 2026
- Assets in custody · $84.4M to $250MOct 23, 2025 to Mar 24, 2026
- State-registered IARs · 4 to 7Oct 23, 2025 to Mar 24, 2026
- Discretionary RAUM · $605M to $684MOct 23, 2025 to Mar 24, 2026
- HNW RAUM · $535M to $576MOct 23, 2025 to Mar 24, 2026
- Individual RAUM · $33.7M to $46.1MOct 23, 2025 to Mar 24, 2026
- RAUM · $605M to $684MOct 23, 2025 to Mar 24, 2026
- Accounts · 347 to 144Dec 17, 2024 to Mar 25, 2025
- Charity clients · 5 to 6Dec 17, 2024 to Mar 25, 2025
- HNW clients · 57 to 56Dec 17, 2024 to Mar 25, 2025
- Individual clients · 79 to 77Dec 17, 2024 to Mar 25, 2025
- Assets in custody · $69.1M to $84.4MDec 17, 2024 to Mar 25, 2025
- Financial planning clients · unset to Dec 17, 2024 to Mar 25, 2025
- Discretionary RAUM · $536M to $605MDec 17, 2024 to Mar 25, 2025
- HNW RAUM · $474M to $535MDec 17, 2024 to Mar 25, 2025
- Individual RAUM · $30.2M to $33.7MDec 17, 2024 to Mar 25, 2025
- RAUM · $536M to $605MDec 17, 2024 to Mar 25, 2025
- Accounts · 362 to 347Mar 30, 2023 to Mar 29, 2024
- HNW clients · 61 to 57Mar 30, 2023 to Mar 29, 2024
- Assets in custody · $66.4M to $69.1MMar 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $482M to $536MMar 30, 2023 to Mar 29, 2024
- HNW RAUM · $428M to $474MMar 30, 2023 to Mar 29, 2024
- Individual RAUM · $27.0M to $30.2MMar 30, 2023 to Mar 29, 2024
- RAUM · $482M to $536MMar 30, 2023 to Mar 29, 2024
- Accounts · 334 to 362Mar 30, 2022 to Mar 30, 2023
- Charity clients · unset to 5.0Mar 30, 2022 to Mar 30, 2023
- HNW clients · 66 to 61Mar 30, 2022 to Mar 30, 2023
- Individual clients · 65 to 79Mar 30, 2022 to Mar 30, 2023
Signals
2 dated events
- J••• T•••••••• E•••• no longer holds an investment adviser registration (last listed at M••••••• I••••••••• P•••••••• L•• on the 2026-09-16 feed)Sep 16, 2026 · Advisor registration ended · derived
- K Amanda Grams (Senior Portfolio Administrator And Member) appeared on Schedule A of M••••••• I••••••••• P•••••••• L••Sep 4, 2019 · Control person joined · 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
- info@mariettallc.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 414-289-9080reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/M•••••••-INVESTMENT-PARTNERreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 414-289-9080reportedpublic record, Form ADV, Sep 16, 2026
- Team page
- mariettallc.com/who-we-arereportedpublished 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
- $97.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026