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

N••••• A•••• M••••••••• I••

Former SEC-registered adviserMequon, WisconsinCRD 113328SEC 801-63133IAPD
Latest filing Mar 20, 2017
First filing on the tape Mar 30, 2012 · 7 filings
RAUM
$677M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$677M as of Mar 20, 2017
Mar 30, 2012$960M then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Mar 20, 2017
Mar 30, 20120 then
Employees (5.A)6 as of Mar 20, 2017
Mar 21, 20136 then
Private funds: no history
RAUM -14% over the last fiscal year-14% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 20, 2017; every figure names its basis
RAUM per advisor
$135MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$18.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-14%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
36reported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • N•••••• J••••••• W•••••• · President, Treasurer, Secretarycontrol
      since 01/2001 · owns 75% or more
    • D••••• K•••••••• A•• · Chief Compliance Officer
      since 04/2015 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 39 to 36
      Mar 14, 2016 to Mar 20, 2017
    • Discretionary RAUM · $789M to $677M
      Mar 14, 2016 to Mar 20, 2017
    • RAUM · $789M to $677M
      Mar 14, 2016 to Mar 20, 2017
    • Accounts · 46 to 39
      Apr 21, 2015 to Mar 14, 2016
    • Advisory activities · 4 to 5
      Apr 21, 2015 to Mar 14, 2016
    • State-registered IARs · 6 to 5
      Apr 21, 2015 to Mar 14, 2016
    • Discretionary RAUM · $964M to $789M
      Apr 21, 2015 to Mar 14, 2016
    • RAUM · $964M to $789M
      Apr 21, 2015 to Mar 14, 2016
    • RAUM · $1.1B to $964M
      Mar 27, 2014 to Mar 26, 2015
    • Accounts · 50 to 46
      Mar 27, 2014 to Mar 26, 2015
    • Discretionary RAUM · $1.1B to $964M
      Mar 27, 2014 to Mar 26, 2015
    • Accounts · 55 to 50
      Mar 21, 2013 to Mar 27, 2014
    • Advisory activities · 3 to 4
      Mar 21, 2013 to Mar 27, 2014
    • Discretionary RAUM · $1.0B to $1.1B
      Mar 21, 2013 to Mar 27, 2014
    • RAUM · $1.0B to $1.1B
      Mar 21, 2013 to Mar 27, 2014
    • Accounts · 58 to 55
      Mar 30, 2012 to Mar 21, 2013
    • Advisory employees · unset to 5.0
      Mar 30, 2012 to Mar 21, 2013
    • Employees · unset to 6.0
      Mar 30, 2012 to Mar 21, 2013
    • State-registered IARs · 0 to 6
      Mar 30, 2012 to Mar 21, 2013
    • Discretionary RAUM · $960M to $1.0B
      Mar 30, 2012 to Mar 21, 2013
    • RAUM · $960M to $1.0B
      Mar 30, 2012 to Mar 21, 2013
    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