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
S••••••• I••••••••• C••••••••• S•••••••• L••
Latest filing Dec 15, 2025
First filing on the tape Nov 9, 2011 · 4 filings
SEC status approved since Dec 3, 2025
RAUM
$160M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
60%
$95.2M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$79.8M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$160M as of Dec 15, 2025
Nov 9, 2011$72.0M then
HNW client RAUM: $90.2M
State-registered IARs (5.B.3)2 as of Dec 15, 2025
Nov 9, 20110 then
Employees (5.A): 2
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Dec 15, 2025; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $79.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 19derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 24%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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)
- 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$90.2M57%
- Charitable organizations$38.9M24%
- Corporations and businesses$25.4M16%
- Individuals$5.0M3.1%
- Individual clients
- 10reported
- HNW clients
- 27reported
- Pension plan clients
- 0reported
- Charitable clients
- 3reported
- Accounts
- 116reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.6 fund_share=0.0 institutional_share=0.24 related_bd=true related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G•••••• S•••• R•••••••••Certified Financial Planner | Madison, Wi | Mar 3, 2003 | 29 y | 0 |
| J•••• A• M••••••• | Madison, Wi | Oct 23, 2023 | 29 y | 0 |
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••• C••••••••• · Managing Membercontrolsince 01/2003 · owns 50% to 75%
- R••••••••• G••••••• S•••• · Member And Chief Compliance Officercontrolsince 01/2003 · owns 25% to 50%
Related persons
Schedule D 7.A
- B••••••••• P•••••••• I•••broker-dealerinvestment advisernRAUM $66.9M
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Madison, Wi · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 39 to 116Mar 1, 2012 to Dec 15, 2025
- Advisory employees · unset to 2.0Mar 1, 2012 to Dec 15, 2025
- BD registered reps · unset to 2.0Mar 1, 2012 to Dec 15, 2025
- Charity clients · unset to 3.0Mar 1, 2012 to Dec 15, 2025
- Corporate clients · unset to 2.0Mar 1, 2012 to Dec 15, 2025
- HNW clients · unset to 27.0Mar 1, 2012 to Dec 15, 2025
- Individual clients · unset to 10.0Mar 1, 2012 to Dec 15, 2025
- Pension plan clients · unset to 0.0Mar 1, 2012 to Dec 15, 2025
- Pooled vehicle clients · unset to 0.0Mar 1, 2012 to Dec 15, 2025
- Employees · unset to 2.0Mar 1, 2012 to Dec 15, 2025
- Financial planning clients · 1-10 to 26-50Mar 1, 2012 to Dec 15, 2025
- State-registered IARs · 0 to 2Mar 1, 2012 to Dec 15, 2025
- Other offices · unset to 0.0Mar 1, 2012 to Dec 15, 2025
- Discretionary RAUM · $72.0M to $160MMar 1, 2012 to Dec 15, 2025
- HNW RAUM · unset to 90237786.0Mar 1, 2012 to Dec 15, 2025
- Individual RAUM · unset to 4953427.0Mar 1, 2012 to Dec 15, 2025
- Pension RAUM · unset to 0.0Mar 1, 2012 to Dec 15, 2025
- Pooled vehicle RAUM · unset to 0.0Mar 1, 2012 to Dec 15, 2025
- RAUM · $72.0M to $160MMar 1, 2012 to Dec 15, 2025
- Insurance-licensed employees · unset to 0.0Nov 9, 2011 to Feb 28, 2012
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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 608-827-6414reportedpublic record, Form ADV, Dec 15, 2025
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
- $79.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026