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
E•••••••• W••••• M••••••••• I•••
Latest filing Jul 6, 2026
First filing on the tape Jan 8, 2018 · 49 filings
SEC status approved since Feb 8, 2018
RAUM
$609M
reported, Item 5.F
Discretionary
66%
of RAUM
Private clients
83%
$504M individuals and HNW
Advisors
13
registered through the firm on IAPD
RAUM per advisor
$46.9M
derived; firm RAUM over IAPD count
Employees
14
10 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
11
reported on Schedule D
History
49 filings and snapshots on the tape
RAUM$609M as of Jul 6, 2026
Mar 30, 2018$134M then
HNW client RAUM$346M as of Jul 6, 2026
Mar 30, 2018$80.2M then
State-registered IARs (5.B.3)10 as of Jul 6, 2026
Mar 30, 20184 then
Employees (5.A)14 as of Jul 6, 2026
Mar 30, 20187 then
Private funds11 as of Jul 6, 2026
Mar 30, 20187 then
RAUM +42% over the last fiscal year+27% a year over threeIARs 9 to 10
Practice profile
derived from the filing of Jul 6, 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
- ria with heavy a•••••••••s · a wealth manager whose private fund gross assets are at least 25 percent of RAUM, or five or more private funds
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $46.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 36derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $199,288derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 66%derivedof RAUM
- Institutional
- 1.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 1.9derived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- +42%derivedbetween the last two annual amendments
- Advisor growth, one year
- +11%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +22%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, pension consulting, selection of other advisers, educational seminars, otherreportedItem 5.G
- Custody
- $162M, 218 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$346M57%
- Individuals$158M26%
- Pooled investment vehicles$93.5M15%
- Charitable organizations$6.6M1.1%
- Pension and profit-sharing plans$3.6M0.6%
- Corporations and businesses$1.2M0.2%
- Individual clients
- 326reported
- HNW clients
- 145reported
- Pension plan clients
- 4reported
- Charitable clients
- 4reported
- Accounts
- 3,057reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $162M for 218 clientsreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.83 fund_share=0.15 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
13 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• L•••• R••••Certified Financial Planner | Appleton, Wi | Mar 13, 2013 | 23 y | 2 |
| P•••••• N•• M•••••••Chartered Financial Analyst | Appleton, Wi | Mar 13, 2013 | 23 y | 2 |
| T•••••• J••••• L•••••• | Appleton, Wi | May 2, 2014 | 40 y | 1 |
| D••••• G••••• F•• | Appleton, Wi | Aug 28, 2014 | 16 y | 0 |
| S••••• B••••••• M••••Certified Financial Planner | Appleton, Wi | Sep 14, 2018 | 12 y | 0 |
| J•••• R•••••• B••••Chartered Financial Analyst | Appleton, Wi | Sep 19, 2018 | 18 y | 1 |
| E••• M•••••• K•••••Certified Financial Planner | Hilton Head, Sc | Jan 11, 2023 | 15 y | 0 |
| M•••••• J• R••••••Certified Financial Planner | Appleton, Wi | Jan 11, 2023 | 15 y | 0 |
| J••• D•••• W•••••••Certified Financial Planner | Appleton, Wi | Jan 1, 2025 | 15 y | 2 |
| B••••••• P•••• G••••• | Appleton, Wi | Jan 3, 2025 | 12 y | 0 |
| C••• J•••• F••••••••• | Appleton, Wi | Apr 14, 2025 | 14 y | 1 |
| R••••• C•••••• R••••Chartered Financial Analyst | Appleton, Wi | Apr 9, 2026 | 14 y | 1 |
| K•••• R•• C••••• | Appleton, Wi | Jul 24, 2026 | 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
none on the tape
Joined, latest
- C••• J•••• F••••••••• from V•••••• C•••••• M••••••••• L••Apr 14, 2025 · RIA to RIA
- J••• D•••• W••••••• from V••••• W••••• P•••••••Jan 1, 2025 · Other
- J•••• R•••••• B•••• from T••••••• I••••••••• M••••••••• I•••Sep 19, 2018 · Other
- T•••••• J••••• L•••••• from S••••••• • A••••••••• L••May 2, 2014 · Other
- P•••••• N•• M••••••• from I•••••••• L••Mar 13, 2013 · Other
- R••••• L•••• R•••• from I•••••••• L••Mar 13, 2013 · Other
Private funds
14 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- M•••••••• P••••••• N•• · Shareholder/Vice President/ Secretary/ Chief Investment Officercontrolsince 02/2013 · owns 10% to 25%
- R••••• R•••••• L•••• · Shareholder/President/ Chief Financial Officer/ Treasurer/ Director Of Wealth Management/ Chief Compliance Officercontrolsince 02/2013 · owns 10% to 25%
- G•••• P•••• O••••• · Managing Membercontrolsince 02/2000 · owns 75% or more of O••••• G••••• L••
- R•••• L••••• L•• · Trusteecontrolsince 12/2012 · owns 50% to 75% of L•••• L• R••• A•• N•••• E• R••• J•••• R•••••••• L••••• T••••
- R•••• N••••• E••••• · Trusteecontrolsince 12/2012 · owns 50% to 75% of L•••• L• R••• A•• N•••• E• R••• J•••• R•••••••• L••••• T••••
- S••••••••• R•••••• G••• · L•••••• Partnercontrolsince 11/2021 · owns 25% to 50% of S••••••••• F••••• L•••••• P••••••••• L•
- S••••••••• S••• E•••• · L•••••• Partnercontrolsince 11/2021 · owns 25% to 50% of S••••••••• F••••• L•••••• P••••••••• L•
- T••••• T•••• C•••••• · Membercontrolsince 11/2013 · owns 75% or more of 0•••• L••
- O•••• W••••• S••••••••• · Shareholdersince 12/2015 · owns 5% to 10%
Entity owners
- 0•••• L•• · Shareholderdirect · owns 10% to 25%
- L•••• L• R••• A•• N•••• E• R••• J•••• R•••••••• L••••• T•••• · Shareholderdirect · owns 10% to 25%
- O••••• G••••• L•• · Shareholderdirect · owns 5% to 10%
- S••••••••• F••••• L•••••• P••••••••• L• · Shareholderdirect · owns 5% to 10%
Related persons
Schedule D 7.A
- C••••••••• P••••••insurancen
- E•• M•••• S••••••••• L••investment advisernRAUM $18.1M
- G••••• A••••••••• I••••••••• M••••••••• L••pooled vehicle sponsorn
Advisers that list E•••••••• W••••• M••••••••• I••• as a related person
- 168410 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Appleton, Wi · principal | 13 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Chicago, IL3 employees
- Green Bay, WI3 employees
- Madison, WI3 employees
- Waukesha, WI3 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Mar 30, 2026RAUM (Item 5.F) moved from $427,600,085 to $609,222,636 (+42.0%) between the annual amendments of 2025-03-31 and 2026-03-30; the peer median change was +16.0% (1385 comparable advisers, 92.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,385) · 92% percentile
What changed
consecutive filings, newest first
- Accounts · 2,403 to 3,057Feb 13, 2026 to Mar 30, 2026
- Advisory employees · 9 to 10Feb 13, 2026 to Mar 30, 2026
- Charity clients · 0 to 4Feb 13, 2026 to Mar 30, 2026
- Corporate clients · 0 to 1Feb 13, 2026 to Mar 30, 2026
- HNW clients · 124 to 145Feb 13, 2026 to Mar 30, 2026
- Individual clients · 262 to 326Feb 13, 2026 to Mar 30, 2026
- Pension plan clients · 0 to 4Feb 13, 2026 to Mar 30, 2026
- Assets in custody · $39.3M to $162MFeb 13, 2026 to Mar 30, 2026
- Employees · 13 to 14Feb 13, 2026 to Mar 30, 2026
- Insurance-licensed employees · 9 to 10Feb 13, 2026 to Mar 30, 2026
- State-registered IARs · 9 to 10Feb 13, 2026 to Mar 30, 2026
- Private funds · 12 to 11Feb 13, 2026 to Mar 30, 2026
- Discretionary RAUM · $281M to $403MFeb 13, 2026 to Mar 30, 2026
- HNW RAUM · $251M to $346MFeb 13, 2026 to Mar 30, 2026
- Individual RAUM · $129M to $158MFeb 13, 2026 to Mar 30, 2026
- Non-discretionary RAUM · $147M to $207MFeb 13, 2026 to Mar 30, 2026
- Pension RAUM · $0 to $3.6MFeb 13, 2026 to Mar 30, 2026
- Pooled vehicle RAUM · $47.1M to $93.5MFeb 13, 2026 to Mar 30, 2026
- RAUM · $428M to $609MFeb 13, 2026 to Mar 30, 2026
- Private funds · 11 to 12Sep 24, 2025 to Dec 19, 2025
- Financial planning clients · 26-50 to 26-50Jun 21, 2025 to Jul 28, 2025
- Accounts · 2,076 to 2,403Jan 29, 2025 to Mar 31, 2025
- Advisory employees · 8 to 9Jan 29, 2025 to Mar 31, 2025
- HNW clients · 122 to 124Jan 29, 2025 to Mar 31, 2025
- Individual clients · 179 to 262Jan 29, 2025 to Mar 31, 2025
- Pooled vehicle clients · 10 to 11Jan 29, 2025 to Mar 31, 2025
- Assets in custody · $31.5M to $39.3MJan 29, 2025 to Mar 31, 2025
- Employees · 12 to 13Jan 29, 2025 to Mar 31, 2025
- Insurance-licensed employees · 8 to 9Jan 29, 2025 to Mar 31, 2025
- State-registered IARs · 8 to 9Jan 29, 2025 to Mar 31, 2025
- Other offices · 5 to 6Jan 29, 2025 to Mar 31, 2025
- Discretionary RAUM · $288M to $281MJan 29, 2025 to Mar 31, 2025
- HNW RAUM · $246M to $251MJan 29, 2025 to Mar 31, 2025
- Individual RAUM · $64.0M to $129MJan 29, 2025 to Mar 31, 2025
- Non-discretionary RAUM · $66.0M to $147MJan 29, 2025 to Mar 31, 2025
- Pension RAUM · $11,902 to $0Jan 29, 2025 to Mar 31, 2025
- Pooled vehicle RAUM · $44.1M to $47.1MJan 29, 2025 to Mar 31, 2025
- RAUM · $354M to $428MJan 29, 2025 to Mar 31, 2025
- Private funds · 10 to 11Jun 20, 2024 to Aug 6, 2024
- Accounts · 1,546 to 2,076Dec 6, 2023 to Mar 26, 2024
Signals
3 dated events
- E•••••••• W••••• M••••••••• I••• reported RAUM $609.2M, up 42% from $427.6M (2026-02-13 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- Edward Joseph Dagrosa (Trustee) no longer on Schedule A of E•••••••• W••••• M••••••••• I••• (listed 2019-12-24, absent 2020-04-30)Apr 30, 2020 · Control person left · inference
- E•••••••• W••••• M••••••••• I••• filed its initial SEC registration (Form ADV)Jan 8, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- E•••••••• W••••• M••••••••• I••• · Family Officesshared cik · foundation
- E•••••••• W••••• M••••••••• I••• · Independent Sponsorsshared crd · capital_provider
- E•••••••• W••••• M••••••••• I••• · Private Equityshared crd · organization
- E•••••••• W••••• M••••••••• I••• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- robert.c.riedl@globalalts.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- heidi@globalalts.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- rob@globalalts.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- tim@globalalts.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 920-227-0521reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 704-589-4068reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 920-785-6009reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/endowment-wealth-management-inc-reportedpublic record, Form ADV, Sep 19, 2026
- Firm profile
- linkedin.com/company/global-altsreportedpublic record, Form ADV, Sep 19, 2026
- Website
- GlobalAlts.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 920-785-6010reportedpublic record, Form ADV, Jul 6, 2026
- Contact form
- globalalts.com/contact-usreportedpublished 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
- $46.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026