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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Former SEC-registered adviser

T•••• S••••• A•••••••• L••

Former SEC-registered adviserGeneva, IllinoisCRD 113212SEC 801-124730IAPD
Latest filing Mar 20, 2024
First filing on the tape Nov 29, 2011 · 21 filings
RAUM
$95.6M
reported, Item 5.F
Discretionary
64%
of RAUM
Private clients
100%
$95.6M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$95.6M as of Mar 20, 2024
Jan 27, 2012$58.1M then
HNW client RAUM$72.5M as of Mar 20, 2024
Feb 17, 2023$70.0M then
State-registered IARs (5.B.3)5 as of Mar 20, 2024
Jan 27, 20120 then
Employees (5.A)7 as of Mar 20, 2024
Feb 17, 20237 then
Private funds: no history
RAUM +5.8% over the last fiscal yearIARs 5 to 5offices 1 to 2
Practice profile
derived from the filing of Mar 20, 2024; every figure names its basis
RAUM per advisor
$19.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
29derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.9MderivedHNW RAUM over HNW clients
Average account
$390,396derivedRAUM over accounts (5.F.2.f)
Discretionary
64%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.4derivedItem 5.A over advisors
Advisors per office
1.7derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+5.8%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-2.0%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • buys or sells securities as principal to or from clients (8.A.2)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$72.5M76%
  • Individuals$23.2M24%
Individual clients
108reported
HNW clients
39reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
245reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
  • H••••••••• J••••• C•••• · Presidentcontrol
    since 07/2022 · owns less than 5%
  • S•••• K••••• J••• · Executive Officer/Ccocontrol
    since 07/2022 · owns less than 5%
  • H••••••••• J••••• C•••• · President/Membercontrol
    since 06/2022 · owns 50% to 75% of A•••• D•• A•••••••• I••
  • S•••• K••••• J••• · Managing Member/Treasurercontrol
    since 06/2022 · owns 25% to 50% of A•••• D•• A•••••••• I••
Entity owners
  • A•••• D•• A•••••••• I•• · Member
    direct · owns 75% or more
Related persons
Schedule D 7.A
  • E••••• D••••• G••••
    real estatey
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Geneva, Il · principal000
Mendota Heights, Mn000
Wausau, Wi000
Offices
Schedule D 1.F, the 25 largest
  • Wausau, WI3 employees
  • , 1 employees
What changed
consecutive filings, newest first
  • Advisory employees · 6 to 4
    Oct 3, 2023 to Mar 20, 2024
  • HNW clients · 44 to 39
    Oct 3, 2023 to Mar 20, 2024
  • Individual clients · 106 to 108
    Oct 3, 2023 to Mar 20, 2024
  • Discretionary RAUM · $22.4M to $61.7M
    Oct 3, 2023 to Mar 20, 2024
  • HNW RAUM · $70.0M to $72.5M
    Oct 3, 2023 to Mar 20, 2024
  • Individual RAUM · $20.4M to $23.2M
    Oct 3, 2023 to Mar 20, 2024
  • Non-discretionary RAUM · $67.9M to $34.0M
    Oct 3, 2023 to Mar 20, 2024
  • RAUM · $90.4M to $95.6M
    Oct 3, 2023 to Mar 20, 2024
  • Other offices · 1 to 2
    Feb 17, 2023 to Oct 3, 2023
  • Accounts · 264 to 245
    Oct 18, 2022 to Feb 17, 2023
  • Advisory employees · 5 to 6
    Oct 18, 2022 to Feb 17, 2023
  • BD registered reps · 2 to 4
    Oct 18, 2022 to Feb 17, 2023
  • HNW clients · 42 to 44
    Oct 18, 2022 to Feb 17, 2023
  • Individual clients · 121 to 106
    Oct 18, 2022 to Feb 17, 2023
  • Employees · 6 to 7
    Oct 18, 2022 to Feb 17, 2023
  • Discretionary RAUM · $0 to $22.4M
    Oct 18, 2022 to Feb 17, 2023
  • HNW RAUM · $81.5M to $70.0M
    Oct 18, 2022 to Feb 17, 2023
  • Individual RAUM · $26.0M to $20.4M
    Oct 18, 2022 to Feb 17, 2023
  • Non-discretionary RAUM · $107M to $67.9M
    Oct 18, 2022 to Feb 17, 2023
  • RAUM · $107M to $90.4M
    Oct 18, 2022 to Feb 17, 2023
  • Other offices · 0 to 1
    Jul 22, 2022 to Aug 17, 2022
  • Advisory employees · 3 to 5
    May 9, 2022 to Jul 18, 2022
  • Employees · 4 to 6
    May 9, 2022 to Jul 18, 2022
  • State-registered IARs · 3 to 5
    May 9, 2022 to Jul 18, 2022
  • Related adviser · true to false
    May 9, 2022 to Jul 18, 2022
  • Related insurance company · true to false
    May 9, 2022 to Jul 18, 2022
  • Accounts · 251 to 264
    Jun 1, 2012 to Mar 24, 2022
  • Advisory employees · unset to 3.0
    Jun 1, 2012 to Mar 24, 2022
  • BD registered reps · unset to 2.0
    Jun 1, 2012 to Mar 24, 2022
  • HNW clients · unset to 42.0
    Jun 1, 2012 to Mar 24, 2022
  • Individual clients · unset to 121.0
    Jun 1, 2012 to Mar 24, 2022
  • Employees · unset to 4.0
    Jun 1, 2012 to Mar 24, 2022
  • Insurance-licensed employees · 3 to 0
    Jun 1, 2012 to Mar 24, 2022
  • State-registered IARs · 0 to 3
    Jun 1, 2012 to Mar 24, 2022
  • Other offices · unset to 0.0
    Jun 1, 2012 to Mar 24, 2022
  • HNW RAUM · unset to 81502517.0
    Jun 1, 2012 to Mar 24, 2022
  • Individual RAUM · unset to 25995100.0
    Jun 1, 2012 to Mar 24, 2022
  • Non-discretionary RAUM · $58.1M to $107M
    Jun 1, 2012 to Mar 24, 2022
  • RAUM · $58.1M to $107M
    Jun 1, 2012 to Mar 24, 2022
  • Non-discretionary RAUM · $57.7M to $58.1M
    Dec 19, 2011 to Jan 27, 2012
Signals
12 dated events
  • N••••••• P••• S••• left T•••• S••••• A•••••••• L•• for O•••• W•••••• I••• (registered 2023-09-01)
    Apr 30, 2024 · Advisor changed firm · fact
  • M•••••• J••• A•••••••• left T•••• S••••• A•••••••• L•• for O•••• W•••••• I••• (registered 2023-09-01)
    Apr 30, 2024 · Advisor changed firm · fact
  • J•••• C•••• H••••••••• left T•••• S••••• A•••••••• L•• for O•••• W•••••• I••• (registered 2023-09-01)
    Apr 30, 2024 · Advisor changed firm · fact
  • S••••• M•••• B•••• left T•••• S••••• A•••••••• L•• for L•• F•••••••• L•• (registered 2024-02-05)
    Apr 30, 2024 · Advisor changed firm · fact
  • K•••• J••• S••• left T•••• S••••• A•••••••• L•• for O•••• W•••••• I••• (registered 2023-09-01)
    Apr 30, 2024 · Advisor changed firm · fact
  • 2 advisors left T•••• S••••• A•••••••• L•• (Geneva, IL) for O•••• W•••••• I••• on the same day
    Apr 30, 2024 · Team lift-out · derived
  • 3 advisors left S•••••••• F••••••••• I••• (Wausau, WI) for T•••• S••••• A•••••••• L•• on the same day
    Sep 1, 2023 · Team lift-out · derived
  • Robert Craig Neader (Managing Member) no longer on Schedule A of T•••• S••••• A•••••••• L•• (listed 2022-05-09, absent 2022-07-18)
    Jul 18, 2022 · Control person left · inference
  • Marie Sheila Baker (Chief Compliance Officer) no longer on Schedule A of T•••• S••••• A•••••••• L•• (listed 2022-05-09, absent 2022-07-18)
    Jul 18, 2022 · Control person left · inference
  • John Kevin Snow (Managing Member/Treasurer) appeared on Schedule A of T•••• S••••• A•••••••• L••
    Jul 18, 2022 · Control person joined · fact
  • Chris Jason Hohenstein (President/Member) appeared on Schedule A of T•••• S••••• A•••••••• L••
    Jul 18, 2022 · Control person joined · fact
  • T•••• S••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
    Mar 24, 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.
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