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

L•••••• I••••••••• A•••••••• I•••

Independent wealth managerPewaukee, WisconsinCRD 109303SEC 801-132648IAPD
Latest filing Mar 31, 2026
First filing on the tape Apr 2, 2012 · 3 filings
SEC status approved since Mar 31, 2026
RAUM
$134M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$134M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$26.7M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$134M as of Mar 31, 2026
Apr 2, 2012$53.6M then
HNW client RAUM: $84.7M
State-registered IARs (5.B.3)5 as of Mar 31, 2026
Apr 2, 20120 then
Employees (5.A): 5
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 31, 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
$26.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
47derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.3MderivedHNW RAUM over HNW clients
Average account
$573,431derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, performance-based, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$84.7M63%
  • Individuals$48.9M37%
Individual clients
196reported
HNW clients
37reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
233reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, performance, commissionsreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J••• S•••••• M•••••Pewaukee, WiJan 8, 199931 y0
W•••••• D••••• T••••Lisbon, WiAug 10, 201723 y3
S•••• J••••••••Pewaukee, WiMar 11, 202410 y0
J••• M•••••• F•••••••••Pewaukee, WiNov 3, 202545 y1
J•••• T••••• F•••••••••Pewaukee, WiNov 10, 202513 y0
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • M•••••• J•••• S•••••• · President, Chief Compliance Officercontrol
      since 01/2012 · owns 75% or more
    • F••••••••• J•••• M•••••• · Vice President
      since 01/2012 · 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
    OfficeAdvisorsJoinedLeftTeams outForming
    Pewaukee, Wi · principal420
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    ADV anomalies
    1 against comparable advisers; where to look, not conclusions
    • compensation changedChange between filings · filing Mar 31, 2026
      performance-based compensation (Item 5.E.6): no on the filing of 2012-07-13, yes on the filing of 2026-03-31
      peers: independent wealth managers, $100M to $500M (5,676)
    How anomalies are measured
    What changed
    consecutive filings, newest first
    • Accounts · 176 to 233
      Jul 13, 2012 to Mar 31, 2026
    • Advisory employees · unset to 5.0
      Jul 13, 2012 to Mar 31, 2026
    • BD registered reps · unset to 2.0
      Jul 13, 2012 to Mar 31, 2026
    • HNW clients · unset to 37.0
      Jul 13, 2012 to Mar 31, 2026
    • Individual clients · unset to 196.0
      Jul 13, 2012 to Mar 31, 2026
    • Employees · unset to 5.0
      Jul 13, 2012 to Mar 31, 2026
    • Financial planning clients · 1-10 to 1-10
      Jul 13, 2012 to Mar 31, 2026
    • State-registered IARs · 0 to 5
      Jul 13, 2012 to Mar 31, 2026
    • Other offices · unset to 0.0
      Jul 13, 2012 to Mar 31, 2026
    • Discretionary RAUM · $51.9M to $132M
      Jul 13, 2012 to Mar 31, 2026
    • HNW RAUM · unset to 84675882.0
      Jul 13, 2012 to Mar 31, 2026
    • Individual RAUM · unset to 48933586.0
      Jul 13, 2012 to Mar 31, 2026
    • Non-discretionary RAUM · $1.8M to $2.0M
      Jul 13, 2012 to Mar 31, 2026
    • RAUM · $53.6M to $134M
      Jul 13, 2012 to Mar 31, 2026
    • Business name · L•••••• I••••••••• A••••••• to L•••••• I••••••••• A•••••••• I•••
      Apr 2, 2012 to Jul 13, 2012
    • Legal name · L•••••• I••••••••• A••••••• to L•••••• I••••••••• A•••••••• I•••
      Apr 2, 2012 to Jul 13, 2012
    • Discretionary RAUM · $53.6M to $51.9M
      Apr 2, 2012 to Jul 13, 2012
    • Non-discretionary RAUM · $0 to $1.8M
      Apr 2, 2012 to Jul 13, 2012
    Signals
    No event on the tape.
    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
    Principal office phone
    262-650-1099reportedpublic record, Form ADV, Mar 31, 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
    $26.7Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026