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
P•••••••• T•••• C••••••
Latest filing Apr 8, 2026
First filing on the tape Mar 29, 2012 · 31 filings
SEC status approved since Dec 15, 2000
RAUM
$6.9B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
85%
$5.8B individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$1.4B
derived; firm RAUM over IAPD count
Employees
12
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$6.9B as of Apr 8, 2026
Mar 29, 2012$1.3B then
HNW client RAUM$5.8B as of Apr 8, 2026
Mar 29, 2018$2.3B then
State-registered IARs (5.B.3)5 as of Apr 8, 2026
Mar 29, 20120 then
Employees (5.A)12 as of Apr 8, 2026
Mar 28, 201314 then
Private funds: no history
RAUM +3.6% over the last fiscal year+12% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Apr 8, 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
- RAUM per advisor
- $1.4BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 198derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.1MderivedHNW RAUM over HNW clients
- Average account
- $6.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.4derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.2%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, selection of other advisersreportedItem 5.G
- Custody
- $3.6B, 927 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
- is a trust company (6.A.8)
- 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)
- 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$5.8B85%
- Charitable organizations$840M12%
- Investment companies$209M3.0%
- Individuals$877,4780.0%
- Individual clients
- 178reported
- HNW clients
- 814reported
- Pension plan clients
- 0reported
- Charitable clients
- 41reported
- Accounts
- 1,037reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $3.6B for 927 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.85 fund_share=0.03 institutional_share=0.12 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• S•••• H•••••••Chartered Financial Analyst | Waukesha, Wi | Jan 7, 1999 | 27 y | 0 |
| M•••••• A•••••• S•••••••Chartered Financial Analyst | Waukesha, Wi | Jan 13, 1999 | 31 y | 0 |
| L•• G• W•••••• | Waukesha, Wi | Nov 2, 2001 | 36 y | 0 |
| T••••• N•••••••• T••••• | Waukesha, Wi | Apr 18, 2011 | 15 y | 0 |
| P••• C••• B••••• | Waukesha, Wi | Aug 21, 2020 | 32 y | 1 |
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
- P••• C••• B••••• from B•••••••• A•••••••• L••Aug 21, 2020 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• A••••••• R• · Trustee, J• S•••• H••••••• 1••• T••••controlsince 12/2018 · owns 25% to 50%
- C••••• M••••••• · Trustee, J. S•••• & G•••••••• H•••••••controlsince 08/2003 · owns 5% to 10%
- D••••• J••••• R••• · Shareholder/Chief Compliance Officer/Chief Operating Officercontrolsince 01/2014 · owns 10% to 25%
- H•••••••• J••••• S•••• · Director/Chief Executive Officercontrolsince 10/2000 · owns less than 5%
- J••••••• E•••••• T••••• · Directorcontrolsince 10/2000 · owns less than 5%
- O••••• J•••• P••• · Trustee, J. S•••• & G•••••••• H•••••••controlsince 08/2003 · owns 5% to 10%
- S•••••••• M••••••• A•••••• · President/Treasurer/Directorcontrolsince 10/2000 · owns less than 5%
- C••••• A••••••• R• · Trusteecontrolsince 12/2018 · owns F of J• S•••• H••••••• 1••• T••••
- C••••• M••••••• · Trusteecontrolsince 10/2000 · owns F of J. S•••• & G•••••••• H••••••• 2003 Trust
- O••••• J•••• P••• · Trusteecontrolsince 10/2000 · owns F of J. S•••• & G•••••••• H••••••• 2003 Trust
- T•••••• T•••••• N•••••••• · Vice President/Secretary/Directorsince 01/2011 · owns less than 5%
Entity owners
- J• S•••• A•• G•••••••• H••••••• 2••• T•••• · Shareholderdirect · owns 25% to 50%
- J• S•••• A•• G•••••••• H••••••• L••••• T•••• D•• 5•••••• · Shareholderdirect · owns 25% to 50%
- J• S•••• H••••••• 1••• T•••• · Shareholderdirect · owns 25% to 50%
- M•••••• A• • P••••••• A• S••••••• J•••• R•••••••• T•••• A••••• · Shareholderdirect · 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 |
|---|---|---|---|---|---|
| Waukesha, Wi · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Apr 8, 2026H•••••••• J••••• S•••• (DIRECTOR/CHIEF EXECUTIVE OFFICER) left Schedule A between the filings of 2021-03-30 and 2026-04-08peers: independent wealth managers, $5B to $20B (289)
What changed
consecutive filings, newest first
- Accounts · 1,069 to 1,037Jul 25, 2025 to Jan 30, 2026
- Charity clients · 40 to 41Jul 25, 2025 to Jan 30, 2026
- HNW clients · 848 to 814Jul 25, 2025 to Jan 30, 2026
- Individual clients · 177 to 178Jul 25, 2025 to Jan 30, 2026
- Assets in custody · $3.1B to $3.6BJul 25, 2025 to Jan 30, 2026
- Discretionary RAUM · $6.6B to $6.9BJul 25, 2025 to Jan 30, 2026
- HNW RAUM · $5.6B to $5.8BJul 25, 2025 to Jan 30, 2026
- Individual RAUM · $2.7M to $877,478Jul 25, 2025 to Jan 30, 2026
- Non-discretionary RAUM · $191,065 to $84,153Jul 25, 2025 to Jan 30, 2026
- RAUM · $6.6B to $6.9BJul 25, 2025 to Jan 30, 2026
- Financial planning clients · 0 to 0Mar 25, 2025 to Jul 25, 2025
- Accounts · 1,119 to 1,069Mar 27, 2024 to Mar 25, 2025
- Charity clients · 46 to 40Mar 27, 2024 to Mar 25, 2025
- HNW clients · 877 to 848Mar 27, 2024 to Mar 25, 2025
- Individual clients · 187 to 177Mar 27, 2024 to Mar 25, 2025
- Pension plan clients · 5 to 0Mar 27, 2024 to Mar 25, 2025
- Assets in custody · $2.8B to $3.1BMar 27, 2024 to Mar 25, 2025
- Discretionary RAUM · $5.7B to $6.6BMar 27, 2024 to Mar 25, 2025
- HNW RAUM · $4.6B to $5.6BMar 27, 2024 to Mar 25, 2025
- Individual RAUM · $381,937 to $2.7MMar 27, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $181,777 to $191,065Mar 27, 2024 to Mar 25, 2025
- Pension RAUM · $9.5M to $0Mar 27, 2024 to Mar 25, 2025
- RAUM · $5.7B to $6.6BMar 27, 2024 to Mar 25, 2025
- Accounts · 1,206 to 1,119Mar 30, 2023 to Mar 27, 2024
- Charity clients · 51 to 46Mar 30, 2023 to Mar 27, 2024
- HNW clients · 944 to 877Mar 30, 2023 to Mar 27, 2024
- Individual clients · 201 to 187Mar 30, 2023 to Mar 27, 2024
- Pension plan clients · 6 to 5Mar 30, 2023 to Mar 27, 2024
- Assets in custody · $3.7B to $2.8BMar 30, 2023 to Mar 27, 2024
- Employees · 13 to 12Mar 30, 2023 to Mar 27, 2024
- Discretionary RAUM · $4.8B to $5.7BMar 30, 2023 to Mar 27, 2024
- HNW RAUM · $3.9B to $4.6BMar 30, 2023 to Mar 27, 2024
- Individual RAUM · $33.7M to $381,937Mar 30, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $156,845 to $181,777Mar 30, 2023 to Mar 27, 2024
- Pension RAUM · $12.1M to $9.5MMar 30, 2023 to Mar 27, 2024
- RAUM · $4.8B to $5.7BMar 30, 2023 to Mar 27, 2024
- Accounts · 1,237 to 1,206Mar 31, 2022 to Mar 30, 2023
- HNW clients · 969 to 944Mar 31, 2022 to Mar 30, 2023
- Individual clients · 207 to 201Mar 31, 2022 to Mar 30, 2023
- Pension plan clients · 7 to 6Mar 31, 2022 to Mar 30, 2023
Signals
6 dated events
- P•••••••• T•••• C•••••• reported RAUM $4.8B, down 26% from $6.5B (2022-03-31 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- P•••••••• T•••• C•••••• reported RAUM $6.5B, up 39% from $4.7B (2021-06-30 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- R A•••••• C•••• (Trustee, J• S•••• H••••••• 1••• T••••) appeared on Schedule A of P•••••••• T•••• C••••••Mar 30, 2021 · Control person joined · fact
- James Dudley Godfrey (Trustee, J• S•••• H••••••• 1••• T••••) no longer on Schedule A of P•••••••• T•••• C•••••• (listed 2020-06-30, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- Jacobus Karim Macleod (Trustee, J• S•••• H••••••• 1••• T••••) no longer on Schedule A of P•••••••• T•••• C•••••• (listed 2020-06-30, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- P•••••••• T•••• C•••••• reported RAUM $4.3B, up 44% from $3.0B (2019-03-29 to 2020-03-31)Mar 31, 2020 · RAUM change · derived
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 phone
- 262-521-2300reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 262-521-2300reportedpublic record, Form ADV, Apr 8, 2026
- Contact form
- provtrust.com/contactreportedpublished by the firm, firm site, Sep 17, 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
- $1.4Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026