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.
Former SEC-registered adviser
Schenck Investment Solutions LLC
Latest filing Dec 7, 2018
First filing on the tape Dec 16, 2011 · 18 filings
RAUM
$875M
reported, Item 5.F
Discretionary
51%
of RAUM
Private clients
97%
$846M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
8 advisory (5.B.1)
Offices
9
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$875M as of Dec 7, 2018
Dec 16, 2011$316M then
HNW client RAUM$336M as of Dec 7, 2018
Dec 5, 2017$300M then
State-registered IARs (5.B.3)8 as of Dec 7, 2018
Nov 26, 20124 then
Employees (5.A)9 as of Dec 7, 2018
Nov 26, 20124 then
Private funds: no history
RAUM +13% over the last fiscal year+14% a year over threeIARs 6 to 8offices 7 to 9
Practice profile
derived from the filing of Dec 7, 2018; every figure names its basis
- RAUM per advisor
- $109MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 81derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $685,015derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 51%derivedof RAUM
- Institutional
- 3.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 0.8derived10 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$509M58%
- High-net-worth individuals$336M38%
- Pension and profit-sharing plans$27.2M3.1%
- Charitable organizations$1.9M0.2%
- Corporations and businesses$745,7900.1%
- Individual clients
- 492reported
- HNW clients
- 153reported
- Pension plan clients
- 5reported
- Charitable clients
- 4reported
- Accounts
- 1,278reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
- Mark John Fenlon to Cliftonlarsonallen Wealth Advisors, LLCMar 14, 2019 · RIA to affiliated broker-dealer or bank
- Dave Allen Isaacson to Cliftonlarsonallen Wealth Advisors, LLCMar 6, 2019 · RIA to affiliated broker-dealer or bank
- Jeffrey David Daye to Cliftonlarsonallen Wealth Advisors, LLCMar 6, 2019 · RIA to affiliated broker-dealer or bank
- Julie Ann Lefevre to Cliftonlarsonallen Wealth Advisors, LLCMar 6, 2019 · RIA to affiliated broker-dealer or bank
- Sandra Ann Risgaard to Cliftonlarsonallen Wealth Advisors, LLCMar 6, 2019 · RIA to affiliated broker-dealer or bank
- Daniel J Wotruba to Kerberrose Wealth Management, LLCJan 8, 2019 · RIA to RIA
- Jesse Lincoln Nelson to Kerberrose Wealth Management, LLCJun 5, 2015 · Other
- Steven Nicholas Hooyman to Baker Tilly Investment AdvisorsNov 12, 2007 · Other
Joined, latest
- Dave Allen Isaacson from Johnson Wealth Inc.Jan 8, 2018 · Other
- Mark John Fenlon from Johnson Wealth Inc.Aug 16, 2017 · Other
- Sandra Ann Risgaard from Baker Tilly Investment AdvisorsJun 26, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 5 left for Cliftonlarsonallen Wealth Advisors, LLCMar 6, 2019 · Appleton, Wi · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J Ronald Altenburg · Directorsince 10/2007 · owns less than 5%
- Jaime Anday · Directorsince 10/2016 · owns less than 5%
- Chris Bentley · Chief Compliance Officersince 02/2018 · owns less than 5%
- John Mark Fenlon · President/Ceosince 10/2017 · owns less than 5%
- Terri Lillesand · Directorsince 10/2016 · owns less than 5%
- Mark Spaeth · Directorsince 10/2016 · owns less than 5%
- Dan Young · Directorsince 10/2017 · owns less than 5%
- Ken Zacharias · Directorsince 10/2017 · owns less than 5%
Entity owners
- Schenck Sc · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- Wkmr Financial Group, LLCinvestment advisery
Offices
Schedule D 1.F, the 25 largest
- Brookfield, WI1 employees
- Fond Du Lac, WI1 employees
- Green Bay, WI1 employees
- Manitowoc, WI1 employees
- Milwaukee, WI1 employees
- Oconomowoc, WI1 employees
- Oshkosh, WI1 employees
- Sheboygan, WI1 employees
- Wausau, WI1 employees
What changed
consecutive filings, newest first
- Accounts · 1,239 to 1,278Aug 3, 2018 to Dec 7, 2018
- Advisory employees · 7 to 8Aug 3, 2018 to Dec 7, 2018
- Charity clients · 3 to 4Aug 3, 2018 to Dec 7, 2018
- HNW clients · 151 to 153Aug 3, 2018 to Dec 7, 2018
- Individual clients · 484 to 491Aug 3, 2018 to Dec 7, 2018
- Assets in custody · $249M to $247MAug 3, 2018 to Dec 7, 2018
- Employees · 8 to 9Aug 3, 2018 to Dec 7, 2018
- State-registered IARs · 7 to 8Aug 3, 2018 to Dec 7, 2018
- Other offices · 7 to 9Aug 3, 2018 to Dec 7, 2018
- Discretionary RAUM · $439M to $447MAug 3, 2018 to Dec 7, 2018
- HNW RAUM · $326M to $336MAug 3, 2018 to Dec 7, 2018
- Individual RAUM · $487M to $508MAug 3, 2018 to Dec 7, 2018
- Non-discretionary RAUM · $403M to $428MAug 3, 2018 to Dec 7, 2018
- Pension RAUM · $26.5M to $27.2MAug 3, 2018 to Dec 7, 2018
- RAUM · $842M to $875MAug 3, 2018 to Dec 7, 2018
- Individual clients · 491 to 492Dec 7, 2018 to Dec 7, 2018
- Individual RAUM · $508M to $509MDec 7, 2018 to Dec 7, 2018
- Accounts · 1,207 to 1,239Mar 21, 2018 to Aug 3, 2018
- Advisory employees · 8 to 7Mar 21, 2018 to Aug 3, 2018
- HNW clients · 142 to 151Mar 21, 2018 to Aug 3, 2018
- Individual clients · 469 to 484Mar 21, 2018 to Aug 3, 2018
- Employees · 9 to 8Mar 21, 2018 to Aug 3, 2018
- State-registered IARs · 8 to 7Mar 21, 2018 to Aug 3, 2018
- Discretionary RAUM · $391M to $439MMar 21, 2018 to Aug 3, 2018
- HNW RAUM · $319M to $326MMar 21, 2018 to Aug 3, 2018
- Individual RAUM · $475M to $487MMar 21, 2018 to Aug 3, 2018
- Non-discretionary RAUM · $433M to $403MMar 21, 2018 to Aug 3, 2018
- Pension RAUM · $26.3M to $26.5MMar 21, 2018 to Aug 3, 2018
- RAUM · $824M to $842MMar 21, 2018 to Aug 3, 2018
- Related adviser · false to trueMar 21, 2018 to Aug 3, 2018
- Accounts · 1,113 to 1,207Dec 5, 2017 to Mar 21, 2018
- Advisory employees · 6 to 8Dec 5, 2017 to Mar 21, 2018
- HNW clients · 144 to 142Dec 5, 2017 to Mar 21, 2018
- Individual clients · 437 to 469Dec 5, 2017 to Mar 21, 2018
- Assets in custody · unset to 248653241.0Dec 5, 2017 to Mar 21, 2018
- Employees · 7 to 9Dec 5, 2017 to Mar 21, 2018
- State-registered IARs · 6 to 8Dec 5, 2017 to Mar 21, 2018
- Discretionary RAUM · $388M to $391MDec 5, 2017 to Mar 21, 2018
- HNW RAUM · $300M to $319MDec 5, 2017 to Mar 21, 2018
- Individual RAUM · $448M to $475MDec 5, 2017 to Mar 21, 2018
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