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
M•••••• A• D•••• F•••••••• P•••••••• L••
Latest filing Mar 17, 2025
First filing on the tape Jun 22, 2016 · 13 filings
SEC status approved since Jul 5, 2016
RAUM
$272M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$272M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$272M as of Mar 17, 2025
Mar 29, 2017$119M then
HNW client RAUM$272M as of Mar 17, 2025
Mar 28, 2018$127M then
State-registered IARs (5.B.3)1 as of Mar 17, 2025
Mar 29, 20171 then
Employees (5.A)1 as of Mar 17, 2025
Mar 29, 20171 then
Private funds: no history
RAUM +19% over the last fiscal year+8.1% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 17, 2025; every figure names its basis
- RAUM per advisor
- $272MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 54derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.1MderivedHNW RAUM over HNW clients
- Average account
- $833,243derivedRAUM 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
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%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 assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$272M100%
- Individuals$818,5050.3%
- Individual clients
- 1reported
- HNW clients
- 53reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 327reported
- Financial planning clients
- 26-50reported
- 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
- M•••••• A•••••• D•••• to B••••• P••••• A•••••••• L••Jun 26, 2025 · RIA to RIA
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• M••••••• A•••••• · Chief Compliance Officer / Managing Membercontrolsince 06/2002 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Middleton, Wi · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 302 to 327Mar 4, 2024 to Mar 17, 2025
- HNW clients · 52 to 53Mar 4, 2024 to Mar 17, 2025
- Individual clients · 2 to 1Mar 4, 2024 to Mar 17, 2025
- Assets in custody · $80.4M to $272MMar 4, 2024 to Mar 17, 2025
- Discretionary RAUM · $229M to $272MMar 4, 2024 to Mar 17, 2025
- HNW RAUM · $228M to $272MMar 4, 2024 to Mar 17, 2025
- Individual RAUM · $1.2M to $818,505Mar 4, 2024 to Mar 17, 2025
- RAUM · $229M to $272MMar 4, 2024 to Mar 17, 2025
- Accounts · 286 to 302Mar 29, 2023 to Mar 4, 2024
- HNW clients · 50 to 52Mar 29, 2023 to Mar 4, 2024
- Assets in custody · $79.7M to $80.4MMar 29, 2023 to Mar 4, 2024
- Custody of client assets · true to falseMar 29, 2023 to Mar 4, 2024
- Financial planning clients · 51-100 to 26-50Mar 29, 2023 to Mar 4, 2024
- Discretionary RAUM · $195M to $229MMar 29, 2023 to Mar 4, 2024
- HNW RAUM · $194M to $228MMar 29, 2023 to Mar 4, 2024
- Individual RAUM · $1.2M to $1.2MMar 29, 2023 to Mar 4, 2024
- RAUM · $195M to $229MMar 29, 2023 to Mar 4, 2024
- Accounts · 267 to 286Mar 24, 2022 to Mar 29, 2023
- HNW clients · 52 to 50Mar 24, 2022 to Mar 29, 2023
- Assets in custody · $166M to $79.7MMar 24, 2022 to Mar 29, 2023
- Discretionary RAUM · $216M to $195MMar 24, 2022 to Mar 29, 2023
- HNW RAUM · $214M to $194MMar 24, 2022 to Mar 29, 2023
- Individual RAUM · $1.7M to $1.2MMar 24, 2022 to Mar 29, 2023
- RAUM · $216M to $195MMar 24, 2022 to Mar 29, 2023
- Accounts · 290 to 267Mar 18, 2021 to Mar 24, 2022
- HNW clients · 50 to 52Mar 18, 2021 to Mar 24, 2022
- Assets in custody · $54.8M to $166MMar 18, 2021 to Mar 24, 2022
- Discretionary RAUM · $195M to $216MMar 18, 2021 to Mar 24, 2022
- HNW RAUM · $193M to $214MMar 18, 2021 to Mar 24, 2022
- Individual RAUM · $1.6M to $1.7MMar 18, 2021 to Mar 24, 2022
- RAUM · $195M to $216MMar 18, 2021 to Mar 24, 2022
- Accounts · 49 to 290Jun 23, 2020 to Mar 17, 2021
- HNW clients · 43 to 50Jun 23, 2020 to Mar 17, 2021
- Individual clients · 6 to 2Jun 23, 2020 to Mar 17, 2021
- Assets in custody · $19.3M to $54.8MJun 23, 2020 to Mar 17, 2021
- Employees · 2 to 1Jun 23, 2020 to Mar 17, 2021
- Discretionary RAUM · $160M to $195MJun 23, 2020 to Mar 17, 2021
- HNW RAUM · $157M to $193MJun 23, 2020 to Mar 17, 2021
- Individual RAUM · $3.2M to $1.6MJun 23, 2020 to Mar 17, 2021
- RAUM · $160M to $195MJun 23, 2020 to Mar 17, 2021
Signals
3 dated events
- M•••••• A• D•••• F•••••••• P•••••••• L•• no longer on the SEC adviser roster (last listed 2025-06-02, RAUM $272.5M)Jul 1, 2025 · Left the SEC roster · derived
- M•••••• A•••••• D•••• left M•••••• A• D•••• F•••••••• P•••••••• L•• for B••••• P••••• A•••••••• L•• (registered 2025-06-02)Jun 26, 2025 · Advisor changed firm · fact
- M•••••• A• D•••• F•••••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Jun 22, 2016 · 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