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

A•• R••••••••• P••• I••••••••• S•••••••

Former SEC-registered adviserPeoria, IllinoisCRD 117678SEC 801-61112IAPD
Legal name A••••••• B•••••• G•••• O• I•••••••• I•••
Latest filing Apr 20, 2020
First filing on the tape Mar 26, 2012 · 10 filings
RAUM
$995M
reported, Item 5.F
Discretionary
39%
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
8
6 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$995M as of Apr 20, 2020
Mar 18, 2015$647M then
HNW client RAUM$0 as of Apr 20, 2020
Mar 28, 2018$0 then
State-registered IARs (5.B.3)3 as of Apr 20, 2020
Mar 26, 20120 then
Employees (5.A)8 as of Apr 20, 2020
Mar 19, 20138 then
Private funds: no history
RAUM +18% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Apr 20, 2020; every figure names its basis
RAUM per advisor
$332MderivedRAUM 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
$3.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
39%derivedof RAUM
Institutional
100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.7derivedItem 5.A over advisors
Advisors per office
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+18%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
pension consulting, selection of other advisers, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$995M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
255reported
Charitable clients
0reported
Accounts
255reported
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
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
    • B••••••• J•••• D•••••• · President, Ceocontrol
      since 05/1967 · owns 50% to 75%
    • B••••••• L••••• B•••• · Executive Vice President / Chief Compliance Officercontrol
      since 10/1996 · owns less than 5%
    • W•••• T•••••• D••••• · Executive Vice President/Chief Information Officercontrol
      since 05/2015 · owns less than 5%
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    • Milwaukee, WI2 employees
    What changed
    consecutive filings, newest first
    • Accounts · 266 to 255
      Jun 10, 2019 to Apr 20, 2020
    • Pension plan clients · 266 to 255
      Jun 10, 2019 to Apr 20, 2020
    • Discretionary RAUM · $300M to $384M
      Jun 10, 2019 to Apr 20, 2020
    • Non-discretionary RAUM · $540M to $611M
      Jun 10, 2019 to Apr 20, 2020
    • Pension RAUM · $840M to $995M
      Jun 10, 2019 to Apr 20, 2020
    • RAUM · $840M to $995M
      Jun 10, 2019 to Apr 20, 2020
    • Business name · A•• R••••••••• P••• S••••••• to A•• R••••••••• P••• I••••••••• S•••••••
      Mar 27, 2019 to Jun 10, 2019
    • Accounts · 248 to 266
      Mar 28, 2018 to Mar 27, 2019
    • Advisory employees · 3 to 6
      Mar 28, 2018 to Mar 27, 2019
    • Pension plan clients · 248 to 266
      Mar 28, 2018 to Mar 27, 2019
    • Employees · 10 to 8
      Mar 28, 2018 to Mar 27, 2019
    • Discretionary RAUM · $323M to $300M
      Mar 28, 2018 to Mar 27, 2019
    • Non-discretionary RAUM · $573M to $540M
      Mar 28, 2018 to Mar 27, 2019
    • Pension RAUM · $897M to $840M
      Mar 28, 2018 to Mar 27, 2019
    • RAUM · $897M to $840M
      Mar 28, 2018 to Mar 27, 2019
    • Accounts · unset to 248.0
      Mar 8, 2017 to Mar 28, 2018
    • Business name · A•• I••••••••• A••••••• S••••••• to A•• R••••••••• P••• S•••••••
      Mar 8, 2017 to Mar 28, 2018
    • Charity clients · unset to 0.0
      Mar 8, 2017 to Mar 28, 2018
    • Corporate clients · unset to 0.0
      Mar 8, 2017 to Mar 28, 2018
    • HNW clients · unset to 0.0
      Mar 8, 2017 to Mar 28, 2018
    • Individual clients · unset to 0.0
      Mar 8, 2017 to Mar 28, 2018
    • Pension plan clients · unset to 248.0
      Mar 8, 2017 to Mar 28, 2018
    • Pooled vehicle clients · unset to 0.0
      Mar 8, 2017 to Mar 28, 2018
    • Other offices · unset to 1.0
      Mar 8, 2017 to Mar 28, 2018
    • Discretionary RAUM · unset to 323140978.0
      Mar 8, 2017 to Mar 28, 2018
    • HNW RAUM · unset to 0.0
      Mar 8, 2017 to Mar 28, 2018
    • Individual RAUM · unset to 0.0
      Mar 8, 2017 to Mar 28, 2018
    • Non-discretionary RAUM · unset to 573403560.0
      Mar 8, 2017 to Mar 28, 2018
    • Pension RAUM · unset to 896544538.0
      Mar 8, 2017 to Mar 28, 2018
    • Pooled vehicle RAUM · unset to 0.0
      Mar 8, 2017 to Mar 28, 2018
    • RAUM · unset to 896544538.0
      Mar 8, 2017 to Mar 28, 2018
    • Related adviser · false to true
      Mar 8, 2017 to Mar 28, 2018
    • Advisory employees · 2 to 3
      Mar 7, 2016 to Mar 8, 2017
    • Business name · A••••••• B•••••• G•••• to A•• I••••••••• A••••••• S•••••••
      Mar 7, 2016 to Mar 8, 2017
    • Employees · 8 to 10
      Mar 7, 2016 to Mar 8, 2017
    • Accounts · 151.0 to unset
      Mar 18, 2015 to Mar 7, 2016
    • Discretionary RAUM · 158847474.0 to unset
      Mar 18, 2015 to Mar 7, 2016
    • Non-discretionary RAUM · 487890137.0 to unset
      Mar 18, 2015 to Mar 7, 2016
    • RAUM · 646737611.0 to unset
      Mar 18, 2015 to Mar 7, 2016
    • Accounts · unset to 151.0
      Mar 20, 2014 to Mar 18, 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