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
T•••• V••• W••••• M••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Feb 27, 2012 · 29 filings
SEC status approved since Mar 24, 2017
RAUM
$318M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$302M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$79.5M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$318M as of Mar 30, 2026
Feb 27, 2012$63.5M then
HNW client RAUM$263M as of Mar 30, 2026
Mar 14, 2018$120M then
State-registered IARs (5.B.3)4 as of Mar 30, 2026
Feb 27, 20120 then
Employees (5.A)6 as of Mar 30, 2026
Mar 14, 20185 then
Private funds: no history
RAUM +13% over the last fiscal year+14% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 30, 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
- $79.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 52derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $3.0M, 1 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$263M83%
- Individuals$39.0M12%
- Pension and profit-sharing plans$11.7M3.7%
- Corporations and businesses$4.5M1.4%
- Individual clients
- 136reported
- HNW clients
- 70reported
- Pension plan clients
- 2reported
- Charitable clients
- 0reported
- Accounts
- 209reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $3.0M for 1 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••• J••• G•••Chartered Financial Analyst | Shorewood, Wi | Oct 17, 2000 | 39 y | 0 |
| S••••• R•••• B••••••• Z•••••Certified Financial Planner | Fox Point, Wi | Jan 21, 2021 | 11 y | 1 |
| M••••• L•• M••••• M•••••• | Shorewood, Wi | Mar 25, 2024 | 12 y | 0 |
| E•••• A• C••••• | Shorewood, Wi | Feb 27, 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
none on the tape
Joined, latest
- S••••• R•••• B••••••• Z••••• from R••••• W• B•••• • C•• I•••••••••Jan 21, 2021 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••• R••••• J••• · Founder & Chief Investment Officer, & Chief Compliance Officercontrolsince 07/1999 · owns 50% to 75%
- B•••••••• S•••••• R• · Financial Advisor/ Shareholdersince 12/2021 · owns less than 5%
- C••••• P•••• A•••••••• · Shareholdersince 12/2021 · owns 25% to 50%
- G•••• B•••••• · Shareholdersince 12/2021 · owns less than 5%
- G•••• G•••• · Shareholdersince 12/2021 · owns less than 5%
- G•••••• N•••••• · Operations Associate/Shareholdersince 12/2021 · owns less than 5%
- S••••••• A••••• · Chief Operating Officer/Shareholdersince 12/2021 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Shorewood, Wi | 4 | 0 | 0 | ||
| Oshkosh, Wi | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Oshkosh, WI
What changed
consecutive filings, newest first
- Accounts · 206 to 209Dec 2, 2025 to Mar 30, 2026
- Advisory employees · 2 to 4Dec 2, 2025 to Mar 30, 2026
- Advisory activities · 3 to 2Dec 2, 2025 to Mar 30, 2026
- HNW clients · 62 to 70Dec 2, 2025 to Mar 30, 2026
- Individual clients · 141 to 136Dec 2, 2025 to Mar 30, 2026
- Assets in custody · $3.1M to $3.0MDec 2, 2025 to Mar 30, 2026
- Financial planning clients · 26-50 to 51-100Dec 2, 2025 to Mar 30, 2026
- Discretionary RAUM · $282M to $318MDec 2, 2025 to Mar 30, 2026
- HNW RAUM · $230M to $263MDec 2, 2025 to Mar 30, 2026
- Individual RAUM · $37.5M to $39.0MDec 2, 2025 to Mar 30, 2026
- Pension RAUM · $10.6M to $11.7MDec 2, 2025 to Mar 30, 2026
- RAUM · $282M to $318MDec 2, 2025 to Mar 30, 2026
- Advisory activities · 2 to 3Nov 26, 2025 to Dec 2, 2025
- Assets in custody · unset to 3095000.0Nov 26, 2025 to Dec 2, 2025
- Custody of client assets · false to trueNov 26, 2025 to Dec 2, 2025
- Employees · 5 to 6Dec 6, 2024 to Mar 27, 2025
- Accounts · 198 to 206Dec 6, 2024 to Mar 27, 2025
- Corporate clients · 2 to 1Dec 6, 2024 to Mar 27, 2025
- Individual clients · 130 to 141Dec 6, 2024 to Mar 27, 2025
- Financial planning clients · 26-50 to 26-50Dec 6, 2024 to Mar 27, 2025
- HQ city · unset to Dec 6, 2024 to Mar 27, 2025
- HQ state · unset to Dec 6, 2024 to Mar 27, 2025
- State-registered IARs · 2 to 4Dec 6, 2024 to Mar 27, 2025
- Discretionary RAUM · $244M to $282MDec 6, 2024 to Mar 27, 2025
- HNW RAUM · $200M to $230MDec 6, 2024 to Mar 27, 2025
- Individual RAUM · $31.8M to $37.5MDec 6, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $162,763 to $0Dec 6, 2024 to Mar 27, 2025
- Pension RAUM · $9.6M to $10.6MDec 6, 2024 to Mar 27, 2025
- RAUM · $244M to $282MDec 6, 2024 to Mar 27, 2025
- Business name · T•••• V••• I••••••••• M••••••••• • R••••••• L•• to T•••• V••• W••••• M••••••••• L••Mar 25, 2024 to Jul 17, 2024
- Accounts · 181 to 198Jun 15, 2023 to Mar 25, 2024
- HNW clients · 58 to 62Jun 15, 2023 to Mar 25, 2024
- Individual clients · 119 to 130Jun 15, 2023 to Mar 25, 2024
- Employees · 4 to 5Jun 15, 2023 to Mar 25, 2024
- Financial planning clients · 1-10 to 26-50Jun 15, 2023 to Mar 25, 2024
- Legal name · T•••• V••• I••••••••• M••••••••• • R••••••• L•• to T•••• V••• W••••• M••••••••• L••Jun 15, 2023 to Mar 25, 2024
- Discretionary RAUM · $216M to $244MJun 15, 2023 to Mar 25, 2024
- HNW RAUM · $176M to $200MJun 15, 2023 to Mar 25, 2024
- Individual RAUM · $29.0M to $31.8MJun 15, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $0 to $162,763Jun 15, 2023 to Mar 25, 2024
Signals
1 dated events
- T•••• V••• I••••••••• M••••••••• • R••••••• L•• filed its initial SEC registration (Form ADV)Mar 20, 2017 · First SEC registration · 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
- Website
- T••••-V•••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 414-253-4096reportedpublic record, Form ADV, Mar 30, 2026
- Team page
- tower-view.com/our-teamreportedpublished 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
- $79.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026