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

Financial Planning And Information Services, Inc.

Former SEC-registered adviserDe Pere, WisconsinCRD 113110SEC 801-61933websiteIAPD
Latest filing Oct 10, 2024
First filing on the tape Mar 28, 2012 · 37 filings
SEC status approved since Mar 28, 2003
RAUM
$1.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$1.1B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
16
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$1.1B as of Mar 13, 2024
Mar 28, 2012$227M then
HNW client RAUM$729M as of Mar 13, 2024
Feb 28, 2018$267M then
State-registered IARs (5.B.3)5 as of Mar 13, 2024
Mar 28, 20120 then
Employees (5.A)16 as of Mar 13, 2024
Mar 28, 20138 then
Private funds: no history
RAUM +20% over the last fiscal year+7.3% a year over threeIARs 4 to 5
Practice profile
derived from the filing of Oct 10, 2024; every figure names its basis
RAUM per advisor
$216MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
231derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.1MderivedHNW RAUM over HNW clients
Average account
$261,209derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.2derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+20%derivedbetween the last two annual amendments
Advisor growth, one year
+25%derivedItem 5.B.3 between annual amendments
Client growth, one year
+4.4%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
Financial planning clients
1,000reportedItem 5.H
Custody
$694M, 1,431 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$729M67%
  • Individuals$350M32%
  • Charitable organizations$872,0280.1%
Individual clients
810reported
HNW clients
347reported
Pension plan clients
0reported
Charitable clients
2reported
Accounts
4,135reported
Financial planning clients
1,000reported
Wrap fee programs
noreported
Custody of client assets
$694M for 1,431 clientsreported
Compensation
% of AUM, fixedreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Dorothy Rachel Brown · Vice Presidentcontrol
      since 10/2013 · owns 10% to 25%
    • James Daniel Budinger · Vice Presidentcontrol
      since 01/2010 · owns 25% to 50%
    • Brent Ryan Wempe · Presidentcontrol
      since 03/2018 · owns 50% to 75%
    • Scott Lonny Elfenbein · Chief Compliance Officer
      since 07/2023 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    De Pere, Wi · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 1,110 to 4,135
      Oct 26, 2023 to Mar 13, 2024
    • Advisory employees · 4 to 10
      Oct 26, 2023 to Mar 13, 2024
    • HNW clients · 272 to 347
      Oct 26, 2023 to Mar 13, 2024
    • Individual clients · 836 to 810
      Oct 26, 2023 to Mar 13, 2024
    • Assets in custody · unset to 694074952.0
      Oct 26, 2023 to Mar 13, 2024
    • Custody of client assets · false to true
      Oct 26, 2023 to Mar 13, 2024
    • Employees · 17 to 16
      Oct 26, 2023 to Mar 13, 2024
    • State-registered IARs · 4 to 5
      Oct 26, 2023 to Mar 13, 2024
    • Discretionary RAUM · $897M to $1.1B
      Oct 26, 2023 to Mar 13, 2024
    • HNW RAUM · $537M to $729M
      Oct 26, 2023 to Mar 13, 2024
    • Individual RAUM · $359M to $350M
      Oct 26, 2023 to Mar 13, 2024
    • RAUM · $897M to $1.1B
      Oct 26, 2023 to Mar 13, 2024
    • Accounts · 1,090 to 1,110
      Jul 5, 2022 to Feb 28, 2023
    • HNW clients · 319 to 272
      Jul 5, 2022 to Feb 28, 2023
    • Individual clients · 769 to 836
      Jul 5, 2022 to Feb 28, 2023
    • Discretionary RAUM · $1.0B to $897M
      Jul 5, 2022 to Feb 28, 2023
    • HNW RAUM · $668M to $537M
      Jul 5, 2022 to Feb 28, 2023
    • Individual RAUM · $339M to $359M
      Jul 5, 2022 to Feb 28, 2023
    • RAUM · $1.0B to $897M
      Jul 5, 2022 to Feb 28, 2023
    • Advisory employees · 9 to 4
      Apr 6, 2022 to May 25, 2022
    • Employees · 18 to 17
      Apr 6, 2022 to May 25, 2022
    • State-registered IARs · 6 to 4
      Apr 6, 2022 to May 25, 2022
    • Advisory employees · 8 to 9
      Mar 12, 2022 to Apr 1, 2022
    • Employees · 17 to 18
      Mar 12, 2022 to Apr 1, 2022
    • State-registered IARs · 5 to 6
      Mar 12, 2022 to Apr 1, 2022
    • Accounts · 1,023 to 1,090
      Sep 1, 2021 to Mar 12, 2022
    • Advisory employees · 7 to 8
      Sep 1, 2021 to Mar 12, 2022
    • HNW clients · 266 to 319
      Sep 1, 2021 to Mar 12, 2022
    • Individual clients · 755 to 769
      Sep 1, 2021 to Mar 12, 2022
    • Employees · 16 to 17
      Sep 1, 2021 to Mar 12, 2022
    • State-registered IARs · 4 to 5
      Sep 1, 2021 to Mar 12, 2022
    • Discretionary RAUM · $874M to $1.0B
      Sep 1, 2021 to Mar 12, 2022
    • HNW RAUM · $535M to $668M
      Sep 1, 2021 to Mar 12, 2022
    • Individual RAUM · $338M to $339M
      Sep 1, 2021 to Mar 12, 2022
    • RAUM · $874M to $1.0B
      Sep 1, 2021 to Mar 12, 2022
    • Employees · 14 to 16
      Mar 5, 2021 to Sep 1, 2021
    • Accounts · 1,000 to 1,023
      Oct 2, 2020 to Feb 10, 2021
    • HNW clients · 217 to 266
      Oct 2, 2020 to Feb 10, 2021
    • Individual clients · 781 to 755
      Oct 2, 2020 to Feb 10, 2021
    • Employees · 12 to 14
      Oct 2, 2020 to Feb 10, 2021
    Signals
    11 dated events
    • Financial Planning And Information Services, Inc. no longer on the SEC adviser roster (last listed 2025-02-03, RAUM $1.1B)
      Mar 6, 2025 · Left the SEC roster · derived
    • Carl E Ekstrom left Financial Planning And Information Services, Inc. for Hightower Advisors, Llc (registered 2025-01-02)
      Feb 4, 2025 · Advisor changed firm · fact
    • Jacqueline Ann Lawrence left Financial Planning And Information Services, Inc. for Hightower Advisors, Llc (registered 2025-01-02)
      Feb 4, 2025 · Advisor changed firm · fact
    • Daniel James Budinger left Financial Planning And Information Services, Inc. for Hightower Advisors, Llc (registered 2025-01-02)
      Feb 4, 2025 · Advisor changed firm · fact
    • Rachel Dorothy Brown left Financial Planning And Information Services, Inc. for Hightower Advisors, Llc (registered 2025-01-02)
      Feb 4, 2025 · Advisor changed firm · fact
    • Brock Becker left Financial Planning And Information Services, Inc. for Hightower Advisors, Llc (registered 2025-01-02)
      Feb 4, 2025 · Advisor changed firm · fact
    • Ryan Brent Wempe left Financial Planning And Information Services, Inc. for Hightower Advisors, Llc (registered 2025-01-03)
      Feb 4, 2025 · Advisor changed firm · fact
    • Allison Buchholtz left Financial Planning And Information Services, Inc. for Hightower Advisors, Llc (registered 2025-01-03)
      Feb 4, 2025 · Advisor changed firm · fact
    • Financial Planning And Information Services, Inc.'s advisors moved to Hightower Advisors, LLC (DE Pere, WI): 7 of 7 registered, on the same day
      Feb 4, 2025 · Firm absorbed (people side) · derived
    • Lee Lonnie Mishler (Director) no longer on Schedule A of Financial Planning And Information Services, Inc. (listed 2021-03-05, absent 2021-09-01)
      Sep 1, 2021 · Control person left · inference
    • Financial Planning And Information Services, Inc. reported RAUM $771.5M, up 49% from $517.0M (2019-03-26 to 2020-03-18)
      Mar 18, 2020 · RAUM change · derived
    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