DFX Intelligence

RIA Intelligence

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Former SEC-registered adviser

B••••••••• I••••••••• P•••••••• L••

Former SEC-registered adviserB•••••••••, WisconsinCRD 113370SEC 801-61841IAPD
Latest filing Jun 30, 2020
First filing on the tape Mar 15, 2012 · 10 filings
RAUM
$704M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
2.3%
$16.4M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$704M as of Mar 19, 2020
Mar 15, 2012$270M then
HNW client RAUM$12.9M as of Mar 19, 2020
Mar 19, 2018$9.2M then
State-registered IARs (5.B.3)0 as of Mar 19, 2020
Mar 15, 20120 then
Employees (5.A)4 as of Mar 19, 2020
Mar 25, 20135 then
Private funds: no history
RAUM +8.5% over the last fiscal year-0.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 30, 2020; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.3MderivedHNW RAUM over HNW clients
Average account
$18.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+8.5%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+130%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, publications, otherreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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
  • Banks and thrifts$672M97%
  • High-net-worth individuals$12.9M1.9%
  • State and municipal entities$6.3M0.9%
  • Individuals$3.5M0.5%
  • Charitable organizations$211,0580.0%
Individual clients
13reported
HNW clients
10reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
38reported
Financial planning clients
1-10reported
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
none on the tape
    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
      • R•••••• E•••• P•••• · Manager
        since 01/2015 · owns less than 5%
      • R••••• R•••• D•••• · Manager
        since 02/2019 · owns less than 5%
      • S•••••• M•••••• · Chief Compliance Officer, Manager
        since 04/2001 · owns less than 5%
      • Z••••••• M•••••• · Manager
        since 11/2015 · owns less than 5%
      Entity owners
      • N•••••• B••••••••• I••• · Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • N•••••• B••••••••• I•••
        y
      Offices
      Schedule D 1.F, the 25 largest
      • Las Vegas, NV1 employees
      What changed
      consecutive filings, newest first
      • HNW clients · 0 to 10
        Mar 28, 2019 to Mar 19, 2020
      • Individual clients · 10 to 13
        Mar 28, 2019 to Mar 19, 2020
      • Financial planning clients · 0 to 1-10
        Mar 28, 2019 to Mar 19, 2020
      • Discretionary RAUM · $649M to $704M
        Mar 28, 2019 to Mar 19, 2020
      • HNW RAUM · $8.9M to $12.9M
        Mar 28, 2019 to Mar 19, 2020
      • Individual RAUM · $5.9M to $3.5M
        Mar 28, 2019 to Mar 19, 2020
      • RAUM · $649M to $704M
        Mar 28, 2019 to Mar 19, 2020
      • Accounts · 32 to 38
        Mar 19, 2018 to Mar 28, 2019
      • Individual clients · 15 to 10
        Mar 19, 2018 to Mar 28, 2019
      • Discretionary RAUM · $663M to $649M
        Mar 19, 2018 to Mar 28, 2019
      • HNW RAUM · $9.2M to $8.9M
        Mar 19, 2018 to Mar 28, 2019
      • Individual RAUM · $3.6M to $5.9M
        Mar 19, 2018 to Mar 28, 2019
      • RAUM · $663M to $649M
        Mar 19, 2018 to Mar 28, 2019
      • Accounts · 37 to 32
        Mar 30, 2017 to Mar 19, 2018
      • Charity clients · unset to 0.0
        Mar 30, 2017 to Mar 19, 2018
      • Corporate clients · unset to 0.0
        Mar 30, 2017 to Mar 19, 2018
      • HNW clients · unset to 0.0
        Mar 30, 2017 to Mar 19, 2018
      • Individual clients · unset to 15.0
        Mar 30, 2017 to Mar 19, 2018
      • Pension plan clients · unset to 0.0
        Mar 30, 2017 to Mar 19, 2018
      • Pooled vehicle clients · unset to 0.0
        Mar 30, 2017 to Mar 19, 2018
      • Other offices · unset to 1.0
        Mar 30, 2017 to Mar 19, 2018
      • Discretionary RAUM · $716M to $663M
        Mar 30, 2017 to Mar 19, 2018
      • HNW RAUM · unset to 9188641.0
        Mar 30, 2017 to Mar 19, 2018
      • Individual RAUM · unset to 3614231.0
        Mar 30, 2017 to Mar 19, 2018
      • Non-discretionary RAUM · $3.9M to $0
        Mar 30, 2017 to Mar 19, 2018
      • Pension RAUM · unset to 0.0
        Mar 30, 2017 to Mar 19, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Mar 30, 2017 to Mar 19, 2018
      • RAUM · $720M to $663M
        Mar 30, 2017 to Mar 19, 2018
      • Accounts · 41 to 37
        Mar 18, 2016 to Mar 30, 2017
      • Discretionary RAUM · $476M to $716M
        Mar 18, 2016 to Mar 30, 2017
      • Non-discretionary RAUM · $4.8M to $3.9M
        Mar 18, 2016 to Mar 30, 2017
      • RAUM · $481M to $720M
        Mar 18, 2016 to Mar 30, 2017
      • Accounts · 42 to 41
        Mar 19, 2015 to Mar 18, 2016
      • Employees · 5 to 4
        Mar 19, 2015 to Mar 18, 2016
      • Discretionary RAUM · $525M to $476M
        Mar 19, 2015 to Mar 18, 2016
      • Non-discretionary RAUM · $4.9M to $4.8M
        Mar 19, 2015 to Mar 18, 2016
      • RAUM · $530M to $481M
        Mar 19, 2015 to Mar 18, 2016
      • Accounts · 47 to 42
        Mar 20, 2014 to Mar 19, 2015
      • Discretionary RAUM · $404M to $525M
        Mar 20, 2014 to Mar 19, 2015
      • Non-discretionary RAUM · $6.2M to $4.9M
        Mar 20, 2014 to Mar 19, 2015
      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