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
F•••••••• S••••••••• I•••
Latest filing Sep 15, 2026
First filing on the tape May 20, 2022 · 9 filings
SEC status approved since Jun 21, 2022
RAUM
$150M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$150M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$37.5M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$150M as of Mar 9, 2026
Mar 13, 2023$103M then
HNW client RAUM$55.9M as of Mar 9, 2026
Mar 13, 2023$43.9M then
State-registered IARs (5.B.3)3 as of Mar 9, 2026
Mar 13, 20233 then
Employees (5.A)6 as of Mar 9, 2026
Mar 13, 20236 then
Private funds: no history
RAUM +9.3% over the last fiscal year+13% a year over threeIARs 2 to 4
Practice profile
derived from the filing of Sep 15, 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $37.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 50derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $267,556derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $97.3M, 158 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)
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$93.9M63%
- High-net-worth individuals$55.9M37%
- Individual clients
- 180reported
- HNW clients
- 19reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 560reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $97.3M for 158 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• D•••••• C•••••••Certified Financial Planner | Brookfield, Wi | Mar 27, 1995 | 36 y | 0 |
| H••••• J••• C••••• | Brookfield, Wi | Feb 7, 2020 | 13 y | 0 |
| Z•••••• D••••• D••••• | Brookfield, Wi | Aug 28, 2025 | 12 y | 0 |
| V•••••••• Z•••••• S•••• | Brookfield, Wi | Sep 14, 2026 | 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
- B•••• A•••••• C••••• to C••••• F•••••••• C••••••• L••Jun 7, 2023 · RIA to a state-registered adviser
- J••••• A• N•••• to S•• W••••• M••••••••• L••May 28, 2014 · Other
- M••• J•••• B••• to A•••• W••••• M••••••••• L••Jun 16, 2009 · Other
Joined, latest
- B•••• A•••••• C••••• from P•• W••••• M•••••••••Jan 6, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• J••••• D•••••• · President / Chief Compliance Officercontrolsince 03/1993 · 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 |
|---|---|---|---|---|---|
| Brookfield, Wi · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 3 to 4Mar 9, 2026 to Sep 15, 2026
- Employees · 6 to 7Mar 9, 2026 to Sep 15, 2026
- Financial planning clients · 101-250 to 101-250Mar 9, 2026 to Sep 15, 2026
- State-registered IARs · 3 to 4Mar 9, 2026 to Sep 15, 2026
- Related adviser · false to unsetMar 9, 2026 to Sep 15, 2026
- Related bank · false to unsetMar 9, 2026 to Sep 15, 2026
- Related broker-dealer · false to unsetMar 9, 2026 to Sep 15, 2026
- Related insurance company · false to unsetMar 9, 2026 to Sep 15, 2026
- Succession · false to unsetMar 9, 2026 to Sep 15, 2026
- Accounts · 554 to 560Mar 31, 2025 to Mar 9, 2026
- Advisory employees · 2 to 3Mar 31, 2025 to Mar 9, 2026
- HNW clients · 21 to 19Mar 31, 2025 to Mar 9, 2026
- Individual clients · 183 to 180Mar 31, 2025 to Mar 9, 2026
- Assets in custody · $88.3M to $97.3MMar 31, 2025 to Mar 9, 2026
- Employees · 5 to 6Mar 31, 2025 to Mar 9, 2026
- State-registered IARs · 2 to 3Mar 31, 2025 to Mar 9, 2026
- Discretionary RAUM · $136M to $150MMar 31, 2025 to Mar 9, 2026
- HNW RAUM · $54.5M to $55.9MMar 31, 2025 to Mar 9, 2026
- Individual RAUM · $82.6M to $93.9MMar 31, 2025 to Mar 9, 2026
- Non-discretionary RAUM · $971,721 to $0Mar 31, 2025 to Mar 9, 2026
- RAUM · $137M to $150MMar 31, 2025 to Mar 9, 2026
- Accounts · 547 to 554Jan 2, 2025 to Mar 31, 2025
- Individual clients · 163 to 183Jan 2, 2025 to Mar 31, 2025
- Assets in custody · $66.3M to $88.3MJan 2, 2025 to Mar 31, 2025
- Financial planning clients · 101-250 to 101-250Jan 2, 2025 to Mar 31, 2025
- Discretionary RAUM · $132M to $136MJan 2, 2025 to Mar 31, 2025
- HNW RAUM · $58.9M to $54.5MJan 2, 2025 to Mar 31, 2025
- Individual RAUM · $72.8M to $82.6MJan 2, 2025 to Mar 31, 2025
- Non-discretionary RAUM · $0 to $971,721Jan 2, 2025 to Mar 31, 2025
- RAUM · $132M to $137MJan 2, 2025 to Mar 31, 2025
- Accounts · 508 to 547Jun 14, 2023 to Mar 25, 2024
- HNW clients · 20 to 21Jun 14, 2023 to Mar 25, 2024
- Individual clients · 157 to 163Jun 14, 2023 to Mar 25, 2024
- Assets in custody · $49.5M to $66.3MJun 14, 2023 to Mar 25, 2024
- Discretionary RAUM · $103M to $132MJun 14, 2023 to Mar 25, 2024
- HNW RAUM · $43.9M to $58.9MJun 14, 2023 to Mar 25, 2024
- Individual RAUM · $58.6M to $72.8MJun 14, 2023 to Mar 25, 2024
- RAUM · $103M to $132MJun 14, 2023 to Mar 25, 2024
- Advisory employees · 3 to 2Mar 13, 2023 to Jun 14, 2023
- Employees · 6 to 5Mar 13, 2023 to Jun 14, 2023
Signals
3 dated events
- V•••••••• Z•••••• S•••• registered as an investment adviser representative at F•••••••• S••••••••• I•••Sep 14, 2026 · Advisor registered · fact
- B•••• A•••••• C••••• left F•••••••• S••••••••• I••• for C••••• F•••••••• C••••••• L•• (registered 2025-10-06)Jun 7, 2023 · Advisor changed firm · fact
- F•••••••• S••••••••• I••• filed its initial SEC registration (Form ADV)May 20, 2022 · 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 phone
- 262-821-1664reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/financialstrategiesincreportedpublic record, Form ADV, Sep 18, 2026
- Website
- financialstrategiesinc.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 262-821-1664reportedpublic record, Form ADV, Sep 15, 2026
- Contact form
- financialstrategiesinc.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- financialstrategiesinc.com/fee-only-financial-advisory-firm-reportedpublished 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
- $37.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026