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
N••••••••• A•••• M••••••••• L••
Latest filing Jun 24, 2026
First filing on the tape Mar 29, 2022 · 9 filings
SEC status approved since Apr 29, 2022
RAUM
$174M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$173M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$57.8M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$174M as of Jun 24, 2026
Mar 23, 2023$112M then
HNW client RAUM$92.7M as of Jun 24, 2026
Mar 23, 2023$56.0M then
State-registered IARs (5.B.3)3 as of Jun 24, 2026
Mar 23, 20233 then
Employees (5.A)5 as of Jun 24, 2026
Mar 23, 20233 then
Private funds: no history
RAUM +16% over the last fiscal year+16% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jun 24, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $57.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 65derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $287,270derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.3%derived
- Compensation
- percentage of assets, fixed feesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$92.7M53%
- Individuals$80.5M46%
- Charitable organizations$355,2950.2%
- Individual clients
- 161reported
- HNW clients
- 35reported
- Pension plan clients
- n/areported
- Charitable clients
- 3reported
- Accounts
- 604reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• V•••••• M•••••Certified Financial Planner | Mcfarland, Wi | Mar 24, 2023 | 19 y | 1 |
| T•••••• J•••• N•••••••••Certified Financial Planner | Mcfarland, Wi | Mar 27, 2023 | 19 y | 1 |
| R•• E••••• N••••••••• | Mcfarland, Wi | Jan 1, 2026 | 23 y | 1 |
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
- M•••••• J••••• V•••••• · Chief Compliance Officer, Ownercontrolsince 11/2010 · owns 25% to 50%
- N••••••••• R••• E••••• · Ownercontrolsince 12/2015 · owns 5% to 10%
- N••••••••• T••••••• J•••• · Managing Member, Ownercontrolsince 12/2015 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Mcfarland, Wi · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 190 to 604Mar 24, 2025 to Mar 20, 2026
- Charity clients · 2 to 3Mar 24, 2025 to Mar 20, 2026
- HNW clients · 34 to 35Mar 24, 2025 to Mar 20, 2026
- Individual clients · 154 to 161Mar 24, 2025 to Mar 20, 2026
- Employees · 3 to 5Mar 24, 2025 to Mar 20, 2026
- Discretionary RAUM · $149M to $174MMar 24, 2025 to Mar 20, 2026
- HNW RAUM · $66.5M to $92.7MMar 24, 2025 to Mar 20, 2026
- Individual RAUM · $82.2M to $80.5MMar 24, 2025 to Mar 20, 2026
- RAUM · $149M to $174MMar 24, 2025 to Mar 20, 2026
- Accounts · 507 to 190Nov 5, 2024 to Mar 24, 2025
- Charity clients · 1 to 2Nov 5, 2024 to Mar 24, 2025
- HNW clients · 26 to 34Nov 5, 2024 to Mar 24, 2025
- Individual clients · 151 to 154Nov 5, 2024 to Mar 24, 2025
- Financial planning clients · 0 to 0Nov 5, 2024 to Mar 24, 2025
- Discretionary RAUM · $130M to $149MNov 5, 2024 to Mar 24, 2025
- HNW RAUM · $64.0M to $66.5MNov 5, 2024 to Mar 24, 2025
- Individual RAUM · $66.3M to $82.2MNov 5, 2024 to Mar 24, 2025
- RAUM · $130M to $149MNov 5, 2024 to Mar 24, 2025
- Accounts · 490 to 507Mar 23, 2023 to Mar 22, 2024
- HNW clients · 25 to 26Mar 23, 2023 to Mar 22, 2024
- Individual clients · 144 to 151Mar 23, 2023 to Mar 22, 2024
- Discretionary RAUM · $112M to $130MMar 23, 2023 to Mar 22, 2024
- HNW RAUM · $56.0M to $64.0MMar 23, 2023 to Mar 22, 2024
- Individual RAUM · $55.6M to $66.3MMar 23, 2023 to Mar 22, 2024
- RAUM · $112M to $130MMar 23, 2023 to Mar 22, 2024
- Accounts · 459 to 490Oct 31, 2022 to Mar 23, 2023
- HNW clients · 24 to 25Oct 31, 2022 to Mar 23, 2023
- Individual clients · 146 to 144Oct 31, 2022 to Mar 23, 2023
- Discretionary RAUM · $123M to $112MOct 31, 2022 to Mar 23, 2023
- HNW RAUM · $54.7M to $56.0MOct 31, 2022 to Mar 23, 2023
- Individual RAUM · $68.4M to $55.6MOct 31, 2022 to Mar 23, 2023
- Non-discretionary RAUM · $169,090 to $0Oct 31, 2022 to Mar 23, 2023
- RAUM · $123M to $112MOct 31, 2022 to Mar 23, 2023
- Advisory activities · 1 to 2Apr 27, 2022 to Oct 31, 2022
Signals
1 dated events
- N••••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 29, 2022 · 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 email
- tim@namadvisors.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- staff@namadvisors.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 608-838-3330reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/3539491reportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 608-838-3330reportedpublic record, Form ADV, Jun 24, 2026
- Contact form
- namadvisors.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- namadvisors.com/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $57.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026