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
S••••••••• W••••• M••••••••• L••
Latest filing Jul 1, 2026
First filing on the tape Mar 14, 2012 · 38 filings
SEC status approved since Apr 13, 2015
RAUM
$642M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$639M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$107M
derived; firm RAUM over IAPD count
Employees
9
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$642M as of Jul 1, 2026
Mar 14, 2012$49.9M then
HNW client RAUM$547M as of Jul 1, 2026
Mar 27, 2018$172M then
State-registered IARs (5.B.3)6 as of Jul 1, 2026
Feb 11, 20163 then
Employees (5.A)9 as of Jul 1, 2026
Feb 11, 20165 then
Private funds: no history
RAUM +25% over the last fiscal year+21% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Jul 1, 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
- $107MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 52derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $343,073derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $278M, 349 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)
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$547M85%
- Individuals$92.0M14%
- Corporations and businesses$2.7M0.4%
- Pension and profit-sharing plans$435,5740.1%
- Individual clients
- 128reported
- HNW clients
- 184reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,871reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $278M for 349 clientsreported
- Compensation
- % of AUMreported
- 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
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• M•••••• R••••••Certified Financial Planner | Pewaukee, Wi | Nov 30, 1998 | 34 y | 0 |
| A••••• M••••••••• B••••Certified Financial Planner | Pewaukee, Wi | Jul 4, 2013 | 22 y | 1 |
| R••• R••••• R•••Certified Financial Planner, Chartered Financial Consultant | Pewaukee, Wi | Nov 7, 2019 | 10 y | 0 |
| B•••• J••• E•••••••••Certified Financial Planner | Pewaukee, Wi | Feb 10, 2020 | 26 y | 3 |
| N••••••• A••••• Z•••••Certified Financial Planner, Chartered Financial Analyst | Pewaukee, Wi | Jan 9, 2025 | 21 y | 2 |
| I•••• S••••••• C••••••••• | Pewaukee, Wi | Sep 8, 2025 | 11 y | 0 |
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
- M••• A••• Z•••• to E••••••••• I••••••••• G••••Feb 18, 2019 · RIA to RIA
Joined, latest
- N••••••• A••••• Z••••• from P•• I••••••••• M•••••••••Jan 9, 2025 · Other
- B•••• J••• E••••••••• from R••••• W• B•••• • C•• I•••••••••Feb 10, 2020 · RIA to RIA
- A••••• M••••••••• B•••• from H•••• F••••••••Jul 4, 2013 · Other
- M••• A••• Z•••• from P•••••• P•••••••Nov 24, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••••• K••••• M•••••• · Founder & Chief Executive Officercontrolsince 01/1999 · owns less than 5%
- R••••••• K••••• M•••••• · Ownercontrolsince 10/2020 · owns 75% or more of S••••••••• H•••••••• I•••
- B••••• A•••••• M••••••••• · Presidentsince 01/2024 · owns 10% to 25%
- H••••• B••••••• · Chief Compliance Officersince 01/2024 · owns less than 5%
- Z•••••• N•••••••• A••••• · Partner & Financial Advisersince 01/2018 · owns less than 5%
Entity owners
- S••••••••• H•••••••• I••• · Ownerdirect · owns 75% or more
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 |
|---|---|---|---|---|---|
| Pewaukee, Wi · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,328 to 1,871Jan 5, 2026 to Mar 9, 2026
- Advisory employees · 4 to 6Jan 5, 2026 to Mar 9, 2026
- Advisory activities · 6 to 4Jan 5, 2026 to Mar 9, 2026
- HNW clients · 164 to 184Jan 5, 2026 to Mar 9, 2026
- Individual clients · 116 to 128Jan 5, 2026 to Mar 9, 2026
- Assets in custody · $227M to $278MJan 5, 2026 to Mar 9, 2026
- Discretionary RAUM · $512M to $642MJan 5, 2026 to Mar 9, 2026
- HNW RAUM · $442M to $547MJan 5, 2026 to Mar 9, 2026
- Individual RAUM · $70.3M to $92.0MJan 5, 2026 to Mar 9, 2026
- Pension RAUM · unset to 435574.0Jan 5, 2026 to Mar 9, 2026
- RAUM · $512M to $642MJan 5, 2026 to Mar 9, 2026
- Advisory activities · 5 to 6Mar 13, 2025 to Jan 5, 2026
- Accounts · 1,210 to 1,328Sep 4, 2024 to Mar 13, 2025
- Advisory employees · 5 to 4Sep 4, 2024 to Mar 13, 2025
- HNW clients · 137 to 164Sep 4, 2024 to Mar 13, 2025
- Individual clients · 127 to 116Sep 4, 2024 to Mar 13, 2025
- Assets in custody · $185M to $227MSep 4, 2024 to Mar 13, 2025
- Employees · 8 to 9Sep 4, 2024 to Mar 13, 2025
- Financial planning clients · 101-250 to 251-500Sep 4, 2024 to Mar 13, 2025
- State-registered IARs · 5 to 6Sep 4, 2024 to Mar 13, 2025
- Discretionary RAUM · $440M to $512MSep 4, 2024 to Mar 13, 2025
- HNW RAUM · $346M to $442MSep 4, 2024 to Mar 13, 2025
- Individual RAUM · $93.0M to $70.3MSep 4, 2024 to Mar 13, 2025
- Pension RAUM · 639487.0 to unsetSep 4, 2024 to Mar 13, 2025
- RAUM · $440M to $512MSep 4, 2024 to Mar 13, 2025
- Accounts · 1,233 to 1,210Jan 5, 2024 to Mar 18, 2024
- Individual clients · 93 to 127Jan 5, 2024 to Mar 18, 2024
- Employees · 7 to 8Jan 5, 2024 to Mar 18, 2024
- Discretionary RAUM · $365M to $440MJan 5, 2024 to Mar 18, 2024
- HNW RAUM · $299M to $346MJan 5, 2024 to Mar 18, 2024
- Individual RAUM · $60.7M to $93.0MJan 5, 2024 to Mar 18, 2024
- Pension RAUM · $5.8M to $639,487Jan 5, 2024 to Mar 18, 2024
- RAUM · $365M to $440MJan 5, 2024 to Mar 18, 2024
- Custody of client assets · false to trueApr 18, 2023 to Oct 9, 2023
- Accounts · 1,121 to 1,233Jan 4, 2023 to Mar 2, 2023
- HNW clients · 141 to 137Jan 4, 2023 to Mar 2, 2023
- Individual clients · 57 to 93Jan 4, 2023 to Mar 2, 2023
- Pension plan clients · 16.0 to unsetJan 4, 2023 to Mar 2, 2023
- Assets in custody · $197M to $185MJan 4, 2023 to Mar 2, 2023
- Employees · 8 to 7Jan 4, 2023 to Mar 2, 2023
Signals
3 dated events
- S••••••••• W••••• M••••••••• L•• reported RAUM $641.9M, up 25% from $512.5M (2026-01-05 to 2026-03-09)Mar 9, 2026 · RAUM change · derived
- S••••••••• W••••• M••••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 3, 2022 · Succession (Item 4) · fact
- S••••••••• W••••• M••••••••• I••• filed its initial SEC registration (Form ADV)Apr 7, 2015 · First SEC registration · fact
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@shakespearewm.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- brittany@shakespearewm.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- keegan@shakespearewm.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- lauren@shakespearewm.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- olivia@shakespearewm.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 262-814-1600reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/shakespeare-wealth-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- S•••••••••WM.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 262-814-1600reportedpublic record, Form ADV, Jul 1, 2026
- Team page
- shakespearewm.com/who-we-are/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $107Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026