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

F•••••• R••• I••••••••• C••••••• L••

Former SEC-registered adviserGermantown, WisconsinCRD 128729SEC 801-110513IAPD
Latest filing Mar 25, 2019
First filing on the tape Apr 21, 2017 · 3 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM: no history
HNW client RAUM$0 as of Mar 25, 2019
Mar 21, 2018$0 then
State-registered IARs (5.B.3)3 as of Mar 25, 2019
Mar 21, 20183 then
Employees (5.A)3 as of Mar 25, 2019
Mar 21, 20183 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Mar 25, 2019; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$0derivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, pension consulting, selection of other advisers, otherreportedItem 5.G
Custody
$92.2M, 28 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
20reported
Pension plan clients
7reported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$92.2M for 28 clientsreported
Compensation
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • W•••• G••••••• D••• · President / Chief Compliance Officer / Member / Elected Managercontrol
        since 09/2003 · owns 75% or more
      Related persons
      Schedule D 7.A
      Advisers that list F•••••• R••• I••••••••• C••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • HNW clients · 17 to 20
        Mar 21, 2018 to Mar 25, 2019
      • Assets in custody · $96.3M to $92.2M
        Mar 21, 2018 to Mar 25, 2019
      • Insurance-licensed employees · 0 to 3
        Mar 21, 2018 to Mar 25, 2019
      • HNW clients · unset to 17.0
        Apr 21, 2017 to Mar 21, 2018
      • Pension plan clients · unset to 7.0
        Apr 21, 2017 to Mar 21, 2018
      • Assets in custody · unset to 96274526.0
        Apr 21, 2017 to Mar 21, 2018
      • Custody of client assets · false to true
        Apr 21, 2017 to Mar 21, 2018
      • Other offices · unset to 0.0
        Apr 21, 2017 to Mar 21, 2018
      • HNW RAUM · unset to 0.0
        Apr 21, 2017 to Mar 21, 2018
      • Individual RAUM · unset to 0.0
        Apr 21, 2017 to Mar 21, 2018
      • Pension RAUM · unset to 0.0
        Apr 21, 2017 to Mar 21, 2018
      Signals
      1 dated events
      • F•••••• R••• I••••••••• C••••••• L•• filed its initial SEC registration (Form ADV)
        Apr 21, 2017 · 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