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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SEC-registered adviser
A••••••• C•••••• M••••••••• L••
Latest filing Mar 11, 2026
First filing on the tape Feb 9, 2012 · 17 filings
SEC status approved since Jun 15, 2015
RAUM
$470M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
88%
$415M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$67.1M
derived; firm RAUM over IAPD count
Employees
9
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$470M as of Mar 11, 2026
Feb 9, 2012$61.5M then
HNW client RAUM$386M as of Mar 11, 2026
Mar 12, 2018$121M then
State-registered IARs (5.B.3)7 as of Mar 11, 2026
Feb 9, 20120 then
Employees (5.A)9 as of Mar 11, 2026
Mar 18, 20165 then
Private funds: no history
RAUM +16% over the last fiscal year+18% a year over threeIARs 6 to 7
Practice profile
derived from the filing of Mar 11, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $67.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 34derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $612,971derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.3%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $114M, 62 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$386M82%
- Corporations and businesses$30.2M6.4%
- Individuals$29.3M6.2%
- Charitable organizations$15.9M3.4%
- Pension and profit-sharing plans$8.6M1.8%
- Individual clients
- 97reported
- HNW clients
- 141reported
- Pension plan clients
- 2reported
- Charitable clients
- 2reported
- Accounts
- 766reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $114M for 62 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.88 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| I••••••• L•••• S•••••Chartered Financial Analyst | Milwaukee, Wi | Jan 21, 2003 | 23 y | 0 |
| W•••••• C•••••• W•••• | Milwaukee, Wi | Mar 27, 2008 | 42 y | 0 |
| S•••• I•• T•••• | Milwaukee, Wi | Dec 20, 2017 | 15 y | 0 |
| J••• M•••• G•••••••••Chartered Financial Analyst | Milwaukee, Wi | Feb 2, 2018 | 13 y | 0 |
| M•••••• P••• J••••••Chartered Financial Analyst | Milwaukee, Wi | Jan 29, 2019 | 10 y | 0 |
| M••••• A••• M••••Chartered Financial Analyst | Milwaukee, Wi | Jan 29, 2019 | 31 y | 0 |
| J••••• M•••••• L••••• | Milwaukee, Wi | Sep 16, 2025 | 10 y | 3 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- J••••• M•••••• L••••• from O•••• W•••••• I•••Sep 16, 2025 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••••• J•••• M•••• · Vice President-Investments (Elected Manager)controlsince 12/2017 · owns less than 5%
- J••••••• M••••••• P••• · Vice President (Elected Manager)controlsince 09/2018 · owns less than 5%
- M••••• M•••••• A••• · Vice President (Elected Manager)controlsince 09/2018 · owns less than 5%
- S•••••• I•••••••• L•••• · President/Chief Compliance Officer (Managing Member)controlsince 12/2002 · owns 75% or more
- S•••••• N••••• M•••• · Vice President (Elected Manager)controlsince 04/2008 · owns less than 5%
- W••••• W••••••• C•••••• · Vice President-Investments (Elected Manager)controlsince 02/2008 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Milwaukee, Wi · principal | 7 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 708 to 766Mar 13, 2025 to Mar 11, 2026
- Advisory employees · 6 to 7Mar 13, 2025 to Mar 11, 2026
- Charity clients · 3 to 2Mar 13, 2025 to Mar 11, 2026
- Corporate clients · 1 to 2Mar 13, 2025 to Mar 11, 2026
- HNW clients · 122 to 141Mar 13, 2025 to Mar 11, 2026
- Individual clients · 102 to 97Mar 13, 2025 to Mar 11, 2026
- Assets in custody · $116M to $114MMar 13, 2025 to Mar 11, 2026
- Employees · 8 to 9Mar 13, 2025 to Mar 11, 2026
- State-registered IARs · 6 to 7Mar 13, 2025 to Mar 11, 2026
- Discretionary RAUM · $404M to $470MMar 13, 2025 to Mar 11, 2026
- HNW RAUM · $339M to $386MMar 13, 2025 to Mar 11, 2026
- Individual RAUM · $33.9M to $29.3MMar 13, 2025 to Mar 11, 2026
- Pension RAUM · $7.4M to $8.6MMar 13, 2025 to Mar 11, 2026
- RAUM · $404M to $470MMar 13, 2025 to Mar 11, 2026
- Accounts · 697 to 708Mar 13, 2024 to Mar 13, 2025
- HNW clients · 117 to 122Mar 13, 2024 to Mar 13, 2025
- Individual clients · 94 to 102Mar 13, 2024 to Mar 13, 2025
- Assets in custody · $98.0M to $116MMar 13, 2024 to Mar 13, 2025
- Financial planning clients · unset to Mar 13, 2024 to Mar 13, 2025
- Discretionary RAUM · $348M to $404MMar 13, 2024 to Mar 13, 2025
- HNW RAUM · $294M to $339MMar 13, 2024 to Mar 13, 2025
- Individual RAUM · $26.1M to $33.9MMar 13, 2024 to Mar 13, 2025
- Pension RAUM · $6.3M to $7.4MMar 13, 2024 to Mar 13, 2025
- RAUM · $348M to $404MMar 13, 2024 to Mar 13, 2025
- Accounts · 628 to 697Mar 8, 2023 to Mar 13, 2024
- HNW clients · 104 to 117Mar 8, 2023 to Mar 13, 2024
- Individual clients · 101 to 94Mar 8, 2023 to Mar 13, 2024
- Assets in custody · $80.0M to $98.0MMar 8, 2023 to Mar 13, 2024
- Discretionary RAUM · $286M to $348MMar 8, 2023 to Mar 13, 2024
- HNW RAUM · $233M to $294MMar 8, 2023 to Mar 13, 2024
- Individual RAUM · $28.8M to $26.1MMar 8, 2023 to Mar 13, 2024
- Pension RAUM · $5.2M to $6.3MMar 8, 2023 to Mar 13, 2024
- RAUM · $286M to $348MMar 8, 2023 to Mar 13, 2024
- Accounts · 598 to 628Mar 2, 2022 to Mar 8, 2023
- Corporate clients · 2 to 1Mar 2, 2022 to Mar 8, 2023
- HNW clients · 113 to 104Mar 2, 2022 to Mar 8, 2023
- Individual clients · 83 to 101Mar 2, 2022 to Mar 8, 2023
- Assets in custody · $66.7M to $80.0MMar 2, 2022 to Mar 8, 2023
- Discretionary RAUM · $308M to $286MMar 2, 2022 to Mar 8, 2023
- HNW RAUM · $255M to $233MMar 2, 2022 to Mar 8, 2023
Signals
4 dated events
- Walter Helmut Hampel (Vice President-Operations (Elected Manager)) no longer on Schedule A of A••••••• C•••••• M••••••••• L•• (listed 2021-03-03, absent 2022-03-02)Mar 2, 2022 · Control person left · inference
- Alan Martin Moser (Vice President (Elected Manager)) appeared on Schedule A of A••••••• C•••••• M••••••••• L••Jan 31, 2019 · Control person joined · fact
- Paul M•••••• Johnson (Vice President (Elected Manager)) appeared on Schedule A of A••••••• C•••••• M••••••••• L••Jan 31, 2019 · Control person joined · fact
- A••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 3, 2015 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 414-225-8200reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- A•••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 414-225-8200reportedpublic record, Form ADV, Mar 11, 2026
- Team page
- a•••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $67.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026