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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
P••••• W••••• M••••••••• C••
Latest filing Mar 11, 2024
First filing on the tape Feb 11, 2020 · 7 filings
SEC status approved since Mar 12, 2020
RAUM
$153M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$153M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$153M as of Mar 11, 2024
Mar 9, 2021$124M then
HNW client RAUM$122M as of Mar 11, 2024
Mar 9, 2021$92.9M then
State-registered IARs (5.B.3)4 as of Mar 11, 2024
Mar 9, 20214 then
Employees (5.A)4 as of Mar 11, 2024
Mar 9, 20214 then
Private funds: no history
RAUM +17% over the last fiscal year+7.2% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 11, 2024; every figure names its basis
- RAUM per advisor
- $38.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 54derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $336,996derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 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
- High-net-worth individuals$122M80%
- Individuals$30.9M20%
- Individual clients
- 107reported
- HNW clients
- 107reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 455reported
- 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
- B•••• J••• C••••• to M•••• F•••••••• A•••••••Jan 24, 2025 · RIA to RIA
- C••• R••• W•••••• to M•••• F•••••••• A•••••••Jan 24, 2025 · RIA to RIA
- C••• R••••• R••••••• to M•••• F•••••••• A•••••••Jan 24, 2025 · RIA to RIA
- C•••••• W•••••• L•• to M•••• F•••••••• A•••••••Jan 24, 2025 · RIA to RIA
- P•••••• R••• S•••• to M•••• F•••••••• A•••••••Jan 24, 2025 · RIA to RIA
- W•••••• J•• M••••• to M•••• F•••••••• A•••••••Jan 24, 2025 · RIA to RIA
- N•••••••• G••••• B••••••• to M•• I•••••••• S•••••••• L••Dec 12, 2006 · Other
Joined, latest
- P•••••• R••• S•••• from R•••••• I•••••••••Apr 8, 2013 · Other
- B•••• J••• C••••• from M•••••• I••••••••• A•••••••• L••Jul 12, 2011 · Other
- C•••••• W•••••• L•• from V••• F•••••••• A•••••••• I•••May 6, 2011 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 6 left for M•••• F•••••••• A•••••••Jan 24, 2025 · M••••••, Wi · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• B••••• J••• · Chief Executive Officer And Directorcontrolsince 04/2011 · owns less than 5%
- M•••••• W••••••• J•• · President, Chief Compliance Officer And Directorcontrolsince 01/2004 · owns 50% to 75%
- S••••• P••••••• R••• · Chief Operating Officer And Directorcontrolsince 04/2014 · owns 50% to 75%
Related persons
Schedule D 7.A
- P••••• F•••••••• S••••••••• L••real estaten
- P••••••• F•••••••• R••••••••• I•••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Brookfield, Wi | 0 | 0 | 0 | ||
| Dodgeville, Wi | 0 | 0 | 0 | ||
| M••••••, Wi · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Dodgeville, WI1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 457 to 455Mar 2, 2023 to Mar 11, 2024
- HNW clients · 91 to 107Mar 2, 2023 to Mar 11, 2024
- Individual clients · 123 to 107Mar 2, 2023 to Mar 11, 2024
- Assets in custody · 233432.0 to unsetMar 2, 2023 to Mar 11, 2024
- Custody of client assets · true to falseMar 2, 2023 to Mar 11, 2024
- Discretionary RAUM · $131M to $153MMar 2, 2023 to Mar 11, 2024
- HNW RAUM · $96.4M to $122MMar 2, 2023 to Mar 11, 2024
- Individual RAUM · $34.5M to $30.9MMar 2, 2023 to Mar 11, 2024
- RAUM · $131M to $153MMar 2, 2023 to Mar 11, 2024
- Accounts · 463 to 457Mar 21, 2022 to Mar 2, 2023
- Corporate clients · 1.0 to unsetMar 21, 2022 to Mar 2, 2023
- HNW clients · 94 to 91Mar 21, 2022 to Mar 2, 2023
- Individual clients · 126 to 123Mar 21, 2022 to Mar 2, 2023
- Assets in custody · $763,609 to $233,432Mar 21, 2022 to Mar 2, 2023
- Discretionary RAUM · $150M to $131MMar 21, 2022 to Mar 2, 2023
- HNW RAUM · $113M to $96.4MMar 21, 2022 to Mar 2, 2023
- Individual RAUM · $36.4M to $34.5MMar 21, 2022 to Mar 2, 2023
- RAUM · $150M to $131MMar 21, 2022 to Mar 2, 2023
- Accounts · 430 to 463Mar 9, 2021 to Mar 21, 2022
- HNW clients · 86 to 94Mar 9, 2021 to Mar 21, 2022
- Individual clients · 119 to 126Mar 9, 2021 to Mar 21, 2022
- Assets in custody · $970,720 to $763,609Mar 9, 2021 to Mar 21, 2022
- Discretionary RAUM · $124M to $150MMar 9, 2021 to Mar 21, 2022
- HNW RAUM · $92.9M to $113MMar 9, 2021 to Mar 21, 2022
- Individual RAUM · $30.6M to $36.4MMar 9, 2021 to Mar 21, 2022
- RAUM · $124M to $150MMar 9, 2021 to Mar 21, 2022
- Accounts · 396 to 430Jun 16, 2020 to Mar 9, 2021
- HNW clients · 81 to 86Jun 16, 2020 to Mar 9, 2021
- Individual clients · 112 to 119Jun 16, 2020 to Mar 9, 2021
- Assets in custody · $4.5M to $970,720Jun 16, 2020 to Mar 9, 2021
- Discretionary RAUM · $110M to $124MJun 16, 2020 to Mar 9, 2021
- HNW RAUM · $82.8M to $92.9MJun 16, 2020 to Mar 9, 2021
- Individual RAUM · $26.3M to $30.6MJun 16, 2020 to Mar 9, 2021
- RAUM · $110M to $124MJun 16, 2020 to Mar 9, 2021
Signals
9 dated events
- P••••• W••••• M••••••••• C•• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $153.3M)May 2, 2025 · Left the SEC roster · derived
- C•••••• W•••••• L•• left P••••• W••••• M••••••••• C•• for M•••• F•••••••• A••••••• (registered 2025-01-24)Jan 24, 2025 · Advisor changed firm · fact
- P•••••• R••• S•••• left P••••• W••••• M••••••••• C•• for M•••• F•••••••• A••••••• (registered 2025-01-24)Jan 24, 2025 · Advisor changed firm · fact
- C••• R••• W•••••• left P••••• W••••• M••••••••• C•• for M•••• F•••••••• A••••••• (registered 2025-01-24)Jan 24, 2025 · Advisor changed firm · fact
- C••• R••••• R••••••• left P••••• W••••• M••••••••• C•• for M•••• F•••••••• A••••••• (registered 2025-01-24)Jan 24, 2025 · Advisor changed firm · fact
- B•••• J••• C••••• left P••••• W••••• M••••••••• C•• for M•••• F•••••••• A••••••• (registered 2025-01-24)Jan 24, 2025 · Advisor changed firm · fact
- W•••••• J•• M••••• left P••••• W••••• M••••••••• C•• for M•••• F•••••••• A••••••• (registered 2025-01-24)Jan 24, 2025 · Advisor changed firm · fact
- P••••• W••••• M••••••••• C••'s advisors moved to M•••• F•••••••• A••••••• (Madison, WI): 6 of 6 registered, on the same dayJan 24, 2025 · Firm absorbed (people side) · derived
- P••••• W••••• M••••••••• C•• filed its initial SEC registration (Form ADV)Feb 11, 2020 · 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