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.
SEC-registered adviser
Wisconsin Capital Management, LLC
Latest filing Aug 28, 2026
First filing on the tape Dec 6, 2011 · 34 filings
SEC status approved since Jan 29, 1997
RAUM
$294M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
52%
$154M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$147M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$294M as of Aug 28, 2026
Aug 21, 2012$469M then
HNW client RAUM$145M as of Aug 28, 2026
Aug 31, 2018$29.2M then
State-registered IARs (5.B.3)2 as of Aug 28, 2026
Aug 21, 20120 then
Employees (5.A)5 as of Aug 28, 2026
Aug 23, 201311 then
Private funds: no history
RAUM +32% over the last fiscal year-4.8% a year over threeIARs 2 to 2offices 1 to 0
Practice profile
derived from the filing of Aug 28, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 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
- $147MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 34derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.0MderivedHNW RAUM over HNW clients
- Average account
- $2.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +61%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for investment companiesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
- 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$145M50%
- Investment companies$101M34%
- Corporations and businesses$23.8M8.1%
- Charitable organizations$14.9M5.1%
- Individuals$8.6M2.9%
- Individual clients
- 39reported
- HNW clients
- 29reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 125reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $1.2M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.52 fund_share=0.34 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Thomas Gerald Plumb | Madison, Wi | May 31, 2002 | 42 y | 2 |
| Nathan Marek Plumb | Madison, Wi | Aug 25, 2023 | 23 y | 6 |
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
- Nathan Marek Plumb to Sva Wealth Management, Inc.Dec 31, 2016 · Other
- Connor Bleser Morse to Sva Wealth Management, LLCDec 31, 2016 · Other
- Timothy Rock Obrien to Sva Wealth Management, Inc.Dec 31, 2014 · Other
- Sean Patrick Cote to Wealth Enhancement Advisory Services, LLCDec 31, 2014 · Other
- Ken Sal Cavalluzzo to Sva Wealth Management, LLCDec 31, 2014 · Other
- Leonard Williams Barry to Yahara Wealth Management LLCSep 9, 2013 · Other
- Ken Sal Cavalluzzo to Sva Wealth Management, Inc.Jan 10, 2012 · Other
- Thomas Francis Dunn to Thompson Investment Management, Inc.Jan 9, 2004 · Other
- Jason Lee Stephens to Thompson Investment Management, Inc.Jan 9, 2004 · Other
- John Walter Thompson to Thompson Investment Management, Inc.Jan 7, 2004 · Other
Joined, latest
- Nathan Marek Plumb from Osaic Fa, Inc.Oct 14, 2020 · Affiliated broker-dealer or bank to independent RIA
- Sean Patrick Cote from Sva Wealth Management, LLCJun 12, 2012 · Other
- Leonard Williams Barry from Sva Wealth Management, LLCJun 12, 2012 · Other
- Ken Sal Cavalluzzo from Sva Wealth Management, Inc.Jan 10, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Gerald Thomas Plumb · President, Managing Membercontrolsince 02/2011 · owns less than 5%
- Michelle Bonnie Romani · Chief Compliance Officercontrolsince 08/2020 · owns less than 5%
- Gerald Thomas Plumb · Sole Shareholdercontrolsince 01/2005 · owns 75% or more of Tgp, Inc.
Entity owners
- Tgp, Inc. · Sole Ownerdirect · owns 75% or more
- Tgp, Inc. · Sole Ownerindirect · owns 75% or more of Wisconsin Capital Management, LLC
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 |
|---|---|---|---|---|---|
| Madison, Wi · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 99 to 125Aug 31, 2025 to Aug 28, 2026
- Charity clients · unset to 1.0Aug 31, 2025 to Aug 28, 2026
- Corporate clients · 2 to 3Aug 31, 2025 to Aug 28, 2026
- HNW clients · 38 to 29Aug 31, 2025 to Aug 28, 2026
- Individual clients · 36 to 39Aug 31, 2025 to Aug 28, 2026
- Discretionary RAUM · $257M to $294MAug 31, 2025 to Aug 28, 2026
- HNW RAUM · $113M to $145MAug 31, 2025 to Aug 28, 2026
- Individual RAUM · $7.5M to $8.6MAug 31, 2025 to Aug 28, 2026
- RAUM · $257M to $294MAug 31, 2025 to Aug 28, 2026
- Wrap assets (manager) · $2.4M to $1.2MAug 31, 2025 to Aug 28, 2026
- Accounts · 80 to 99Aug 29, 2024 to Aug 31, 2025
- Advisory activities · 2 to 3Aug 29, 2024 to Aug 31, 2025
- Corporate clients · 1 to 2Aug 29, 2024 to Aug 31, 2025
- HNW clients · 40 to 38Aug 29, 2024 to Aug 31, 2025
- Individual clients · 21 to 36Aug 29, 2024 to Aug 31, 2025
- Employees · 4 to 5Aug 29, 2024 to Aug 31, 2025
- Financial planning clients · 0 to 1-10Aug 29, 2024 to Aug 31, 2025
- Discretionary RAUM · $266M to $257MAug 29, 2024 to Aug 31, 2025
- HNW RAUM · $161M to $113MAug 29, 2024 to Aug 31, 2025
- Individual RAUM · $3.7M to $7.5MAug 29, 2024 to Aug 31, 2025
- RAUM · $266M to $257MAug 29, 2024 to Aug 31, 2025
- Wrap assets (manager) · $2.5M to $2.4MAug 29, 2024 to Aug 31, 2025
- Accounts · 62 to 80Aug 29, 2023 to Aug 29, 2024
- Corporate clients · unset to 1.0Aug 29, 2023 to Aug 29, 2024
- HNW clients · 21 to 40Aug 29, 2023 to Aug 29, 2024
- Individual clients · 17 to 21Aug 29, 2023 to Aug 29, 2024
- Other offices · 1 to 0Aug 29, 2023 to Aug 29, 2024
- Discretionary RAUM · $222M to $266MAug 29, 2023 to Aug 29, 2024
- HNW RAUM · $128M to $161MAug 29, 2023 to Aug 29, 2024
- Individual RAUM · $3.6M to $3.7MAug 29, 2023 to Aug 29, 2024
- RAUM · $222M to $266MAug 29, 2023 to Aug 29, 2024
- Wrap assets (manager) · $2.2M to $2.5MAug 29, 2023 to Aug 29, 2024
- Accounts · 66 to 62Aug 30, 2022 to Aug 29, 2023
- Advisory employees · 1 to 2Aug 30, 2022 to Aug 29, 2023
- HNW clients · 22 to 21Aug 30, 2022 to Aug 29, 2023
- Individual clients · 15 to 17Aug 30, 2022 to Aug 29, 2023
- State-registered IARs · 1 to 2Aug 30, 2022 to Aug 29, 2023
- Discretionary RAUM · $214M to $222MAug 30, 2022 to Aug 29, 2023
- HNW RAUM · $120M to $128MAug 30, 2022 to Aug 29, 2023
- Individual RAUM · $3.0M to $3.6MAug 30, 2022 to Aug 29, 2023
Signals
4 dated events
- Wisconsin Capital Management, Llc reported RAUM $213.8M, down 37% from $340.8M (2022-01-10 to 2022-08-30)Aug 30, 2022 · RAUM change · derived
- Michelle Bonnie Romani (Chief Compliance Officer) appeared on Schedule A of Wisconsin Capital Management, LlcAug 28, 2020 · Control person joined · fact
- Wisconsin Capital Management, Llc reported RAUM $258.3M, up 110% from $123.0M (2019-01-11 to 2019-08-27)Aug 27, 2019 · RAUM change · derived
- Marek Nathan Plumb (Chief Financial Officer) no longer on Schedule A of Wisconsin Capital Management, Llc (listed 2019-01-11, absent 2019-08-27)Aug 27, 2019 · Control person left · inference
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
- 608-960-4616reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/wisconsin-capital-managementreportedpublic record, Form ADV, Sep 17, 2026
- Website
- wiscap.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 608-960-4616reportedpublic record, Form ADV, Aug 28, 2026
- Contact form
- wiscap.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
- $147Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026