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
R••••• S••••••• I••
Latest filing Apr 24, 2026
First filing on the tape Mar 20, 2012 · 28 filings
SEC status approved since Jul 15, 1991
RAUM
$227M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$227M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$75.8M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$227M as of Apr 24, 2026
Jul 31, 2012$108M then
HNW client RAUM$183M as of Apr 24, 2026
May 17, 2018$60.2M then
State-registered IARs (5.B.3)3 as of Apr 24, 2026
Jul 31, 20120 then
Employees (5.A)3 as of Apr 24, 2026
May 6, 20132 then
Private funds: no history
RAUM +29% over the last fiscal year+9.7% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Apr 24, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $75.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 58derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $296,035derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%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
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +29%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $37.7M, 85 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$183M80%
- Individuals$44.5M20%
- Individual clients
- 79reported
- HNW clients
- 94reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 768reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $37.7M for 85 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P••••••• A••• K•••••Certified Financial Planner | Brookfield , Wi | Oct 11, 1991 | 41 y | 0 |
| T•• A•••• K••••••Certified Financial Planner | Brookfield, Wi | Oct 11, 1991 | 40 y | 0 |
| C••••• A•• T•••••Certified Financial Planner | Brookfield, Wi | Jun 26, 2015 | 22 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
- C••••• A•• T••••• from R••••• W• B•••• • C•• I•••••••••Jun 26, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••• P•••••••• A••• · Vice President, Secretary, Treasurercontrolsince 04/1987 · owns 50% to 75%
- K••••••• T••• A•••• · President And Chief Compliance Officercontrolsince 04/1987 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Brookfield, Wi · principal | 3 | 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
- low discretionary shareStatic outlier · filing Apr 24, 2026discretionary share of RAUM of 0% against a peer median of 100% (5676 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 761 to 768May 6, 2025 to Apr 24, 2026
- HNW clients · 79 to 94May 6, 2025 to Apr 24, 2026
- Individual clients · 92 to 79May 6, 2025 to Apr 24, 2026
- Assets in custody · $31.4M to $37.7MMay 6, 2025 to Apr 24, 2026
- HNW RAUM · $139M to $183MMay 6, 2025 to Apr 24, 2026
- Individual RAUM · $49.9M to $44.5MMay 6, 2025 to Apr 24, 2026
- Non-discretionary RAUM · $189M to $227MMay 6, 2025 to Apr 24, 2026
- RAUM · $189M to $227MMay 6, 2025 to Apr 24, 2026
- Accounts · 771 to 761May 15, 2024 to May 6, 2025
- HNW clients · 72 to 79May 15, 2024 to May 6, 2025
- Individual clients · 102 to 92May 15, 2024 to May 6, 2025
- Assets in custody · $26.2M to $31.4MMay 15, 2024 to May 6, 2025
- Financial planning clients · 101-250 to 101-250May 15, 2024 to May 6, 2025
- HNW RAUM · $121M to $139MMay 15, 2024 to May 6, 2025
- Individual RAUM · $55.5M to $49.9MMay 15, 2024 to May 6, 2025
- Non-discretionary RAUM · $177M to $189MMay 15, 2024 to May 6, 2025
- RAUM · $177M to $189MMay 15, 2024 to May 6, 2025
- Accounts · 794 to 771Sep 5, 2023 to May 15, 2024
- HNW clients · 63 to 72Sep 5, 2023 to May 15, 2024
- Individual clients · 116 to 102Sep 5, 2023 to May 15, 2024
- Assets in custody · $12.8M to $26.2MSep 5, 2023 to May 15, 2024
- HNW RAUM · $97.7M to $121MSep 5, 2023 to May 15, 2024
- Individual RAUM · $61.6M to $55.5MSep 5, 2023 to May 15, 2024
- Non-discretionary RAUM · $159M to $177MSep 5, 2023 to May 15, 2024
- RAUM · $159M to $177MSep 5, 2023 to May 15, 2024
- Accounts · 831 to 794May 26, 2022 to May 11, 2023
- HNW clients · 70 to 63May 26, 2022 to May 11, 2023
- Individual clients · 112 to 116May 26, 2022 to May 11, 2023
- Assets in custody · $12.8M to $12.8MMay 26, 2022 to May 11, 2023
- HNW RAUM · $112M to $97.7MMay 26, 2022 to May 11, 2023
- Individual RAUM · $60.1M to $61.6MMay 26, 2022 to May 11, 2023
- Non-discretionary RAUM · $172M to $159MMay 26, 2022 to May 11, 2023
- RAUM · $172M to $159MMay 26, 2022 to May 11, 2023
- Accounts · 822 to 831May 14, 2021 to May 5, 2022
- HNW clients · 62 to 70May 14, 2021 to May 5, 2022
- Individual clients · 116 to 112May 14, 2021 to May 5, 2022
- Assets in custody · $12.9M to $12.8MMay 14, 2021 to May 5, 2022
- HNW RAUM · $95.6M to $112MMay 14, 2021 to May 5, 2022
- Individual RAUM · $61.5M to $60.1MMay 14, 2021 to May 5, 2022
- Non-discretionary RAUM · $157M to $172MMay 14, 2021 to May 5, 2022
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
- Business email
- info@reviewservicesinc.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- greta@reviewservicesinc.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- margaret@reviewservicesinc.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- pat@reviewservicesinc.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- tim@reviewservicesinc.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 262-784-9690reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 262-784-3751reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-776-3613reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- R•••••SERVICESINC.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 262-784-9690reportedpublic record, Form ADV, Apr 24, 2026
- Team page
- reviewservicesinc.com/team-member-01reportedpublished by the firm, firm site, Sep 16, 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
- $75.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026