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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Former SEC-registered adviser
W••••• H••••• I••••••••• A••••••• L••
Latest filing May 23, 2013
First filing on the tape Dec 7, 2011 · 6 filings
RAUM
$1.6B
reported, Item 5.F
Discretionary
67%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
47
29 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$1.6B as of Apr 1, 2013
Mar 28, 2012$1.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3): 27
Employees (5.A): 47
Private funds: no history
RAUM +25% over the last fiscal year
Practice profile
derived from the filing of May 23, 2013; every figure names its basis
- RAUM per advisor
- $60.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $709,304derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 67%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 4.5derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween 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 feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, educational seminars, otherreportedItem 5.G
- Custody
- $295M, 58 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2,318reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $295M for 58 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- L••• M•••• R••••••••• to L•• W••••• M••••••••• L•••Aug 9, 2013 · Other
- P•••••• M••••••• C••••• H•••••• to T••• H•••••• L••Jul 3, 2013 · Other
- N••• B••••••• M••••• to C••••••• P•••••••Jul 3, 2013 · Other
- B•••••• J••• M•••••• to V•••••• A•••••••• I•••Jul 3, 2013 · Other
- R•••• C•••••• H••••• to T••• H•••••• L••Jul 3, 2013 · Other
- K••••••• H• H•••• to 1•• G••••• A••••••• I••Feb 22, 2013 · Other
- R•••••• J••• W•••••• to O• I••••••••• M••••••••• C•Jul 12, 2006 · Other
Joined, latest
- B•••••• J••• M•••••• from W••••• F•••••••• A•••••••• L••Apr 15, 2013 · Other
- N••• B••••••• M••••• from W••••• F•••••••• A•••••••• L••Aug 29, 2012 · Other
- P•••••• M••••••• C••••• H•••••• from W••••• F•••••••• A•••••••• L••May 8, 2012 · Other
- S••• P•••• R•••• from L•• W••••• M••••••••• L•••Nov 12, 2010 · Other
- L••• M•••• R••••••••• from L•• W••••• M••••••••• L•••Nov 1, 2010 · Other
- K••••••• H• H•••• from J••• M••••• S••••••••• L••Jun 2, 2010 · Other
- L••• M•••• M••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 15, 2007 · Other
- R•••••• J••• W•••••• from D••••••••• F•••••••• S•••••••• I••Jan 11, 2006 · Other
- R•••• C•••••• H••••• from W••••• F•••••••• A•••••••• L••Apr 20, 2001 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• R••••• C•••••• · Presidentcontrolsince 10/2008 · owns less than 5%
- K•••••• D••••• U•••• · Chief Compliance Officercontrolsince 03/2012 · owns less than 5%
- P•••• M•••••• R•••••• · Chief Operating Officer/Chief Investment Officercontrolsince 10/2008 · owns less than 5%
- S•••••• J••••••• E••••• · Senior Vice Presidentcontrolsince 10/2008 · owns less than 5%
- H•••••• R••••• C•••••• · Manager/President Of Hfacontrolsince 10/1999 · owns 25% to 50% of H••••• F•••••••• A•••••••• L••
Entity owners
- H••••• F•••••••• A•••••••• L•• · Sole Memberdirect · owns 75% or more
- W••••• F••••••••• L•• · Memberindirect · owns 50% to 75% of H••••• F•••••••• A•••••••• L••
- W••••• L•• · Sole Member Of W••••• F••••••••• L••indirect · owns 75% or more of W••••• F••••••••• L••
Related persons
Schedule D 7.A
- W••••• F•••••••• A•••••••• L••investment adviseryRAUM $5.1B
- W••••• L••insurancey
Offices
Schedule D 1.F, the 25 largest
- Green Bay, WI
- Madison, WI
- Milwaukee, WI
- Minneapolis, MN
- Rockford, IL
What changed
consecutive filings, newest first
- Accounts · 1,928 to 2,318Nov 15, 2012 to Apr 1, 2013
- Advisory employees · 19 to 29Nov 15, 2012 to Apr 1, 2013
- Advisory activities · 5 to 6Nov 15, 2012 to Apr 1, 2013
- BD registered reps · 0 to 2Nov 15, 2012 to Apr 1, 2013
- Assets in custody · $2.6M to $295MNov 15, 2012 to Apr 1, 2013
- Employees · 31 to 47Nov 15, 2012 to Apr 1, 2013
- Insurance-licensed employees · 3 to 0Nov 15, 2012 to Apr 1, 2013
- Financial planning clients · 251-500 to 101-250Nov 15, 2012 to Apr 1, 2013
- State-registered IARs · 16 to 27Nov 15, 2012 to Apr 1, 2013
- Discretionary RAUM · $831M to $1.1BNov 15, 2012 to Apr 1, 2013
- Non-discretionary RAUM · $487M to $543MNov 15, 2012 to Apr 1, 2013
- RAUM · $1.3B to $1.6BNov 15, 2012 to Apr 1, 2013
- Advisory employees · unset to 19.0Mar 28, 2012 to Nov 8, 2012
- Employees · unset to 31.0Mar 28, 2012 to Nov 8, 2012
- State-registered IARs · unset to 16.0Mar 28, 2012 to Nov 8, 2012
- Accounts · 1,821 to 1,928Dec 7, 2011 to Mar 28, 2012
- Assets in custody · $6.7M to $2.6MDec 7, 2011 to Mar 28, 2012
- Custody of client assets · false to trueDec 7, 2011 to Mar 28, 2012
- Insurance-licensed employees · unset to 3.0Dec 7, 2011 to Mar 28, 2012
- Financial planning clients · 26-50 to 251-500Dec 7, 2011 to Mar 28, 2012
- Discretionary RAUM · $624M to $831MDec 7, 2011 to Mar 28, 2012
- Non-discretionary RAUM · $457M to $487MDec 7, 2011 to Mar 28, 2012
- RAUM · $1.1B to $1.3BDec 7, 2011 to Mar 28, 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.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026