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.
SEC-registered adviser
B•••• C••••••
Legal name R••••• I••••••••• G••••• I•••
Latest filing Jul 28, 2026
First filing on the tape Mar 29, 2012 · 24 filings
SEC status approved since Jan 3, 2007
RAUM
$283M
reported, Item 5.F
Discretionary
48%
of RAUM
Private clients
99%
$279M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$70.8M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$283M as of Jul 28, 2026
Mar 29, 2012$97.5M then
HNW client RAUM$166M as of Jul 28, 2026
Jan 4, 2018$7.9M then
State-registered IARs (5.B.3)4 as of Jul 28, 2026
Jan 18, 20133 then
Employees (5.A)5 as of Jul 28, 2026
Jan 18, 20134 then
Private funds: no history
RAUM n/a over the last fiscal year+16% a year over three
Practice profile
derived from the filing of Jul 28, 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
- RAUM per advisor
- $70.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 157derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $190,140derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 48%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 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, educational seminarsreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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$166M59%
- Individuals$113M40%
- Corporations and businesses$2.5M0.9%
- Pension and profit-sharing plans$1.3M0.5%
- Individual clients
- 558reported
- HNW clients
- 68reported
- Pension plan clients
- 1reported
- Charitable clients
- 0reported
- Accounts
- 1,490reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••• R••••• | B••••Field, Wi | Jun 25, 2004 | 33 y | 3 |
| J•••• S•••• V••••• | B••••Field, Wi | Nov 19, 2010 | 22 y | 1 |
| D••••• J•••• W•••••• | B••••Field, Wi | Jun 16, 2022 | 10 y | 0 |
| D•••• B••• R••••• | B••••Field, Wi | Jan 1, 2025 | 21 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
- R••• R••••• from W•••• F•••• A•••••••Jun 25, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••••• R••• · President;Shareholder(Common)controlsince 03/2004 · owns 75% or more
- J•••••• L•••• · Chief Compliance Officer;Secretary, Shareholder(Common)since 09/2004 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| B••••Field, Wi · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,419 to 1,490May 1, 2025 to Jan 30, 2026
- HNW clients · 61 to 68May 1, 2025 to Jan 30, 2026
- Commission compensation · true to falseMay 1, 2025 to Jan 30, 2026
- Financial planning clients · 51-100 to 11-25May 1, 2025 to Jan 30, 2026
- Discretionary RAUM · $131M to $135MMay 1, 2025 to Jan 30, 2026
- HNW RAUM · $133M to $166MMay 1, 2025 to Jan 30, 2026
- Individual RAUM · $118M to $113MMay 1, 2025 to Jan 30, 2026
- Non-discretionary RAUM · $125M to $148MMay 1, 2025 to Jan 30, 2026
- Pension RAUM · $1.2M to $1.3MMay 1, 2025 to Jan 30, 2026
- RAUM · $256M to $283MMay 1, 2025 to Jan 30, 2026
- Accounts · 1,417 to 1,419Jan 4, 2024 to May 1, 2025
- BD registered reps · 3 to 0Jan 4, 2024 to May 1, 2025
- Corporate clients · 5 to 4Jan 4, 2024 to May 1, 2025
- HNW clients · 47 to 61Jan 4, 2024 to May 1, 2025
- Individual clients · 572 to 558Jan 4, 2024 to May 1, 2025
- Financial planning clients · 51-100 to 51-100Jan 4, 2024 to May 1, 2025
- Discretionary RAUM · $124M to $131MJan 4, 2024 to May 1, 2025
- HNW RAUM · $92.0M to $133MJan 4, 2024 to May 1, 2025
- Individual RAUM · $112M to $118MJan 4, 2024 to May 1, 2025
- Non-discretionary RAUM · $86.4M to $125MJan 4, 2024 to May 1, 2025
- Pension RAUM · $996,775 to $1.2MJan 4, 2024 to May 1, 2025
- RAUM · $210M to $256MJan 4, 2024 to May 1, 2025
- Accounts · 1,159 to 1,417Apr 11, 2023 to Jan 4, 2024
- Corporate clients · 3 to 5Apr 11, 2023 to Jan 4, 2024
- HNW clients · 34 to 47Apr 11, 2023 to Jan 4, 2024
- Individual clients · 518 to 572Apr 11, 2023 to Jan 4, 2024
- Discretionary RAUM · $138M to $124MApr 11, 2023 to Jan 4, 2024
- HNW RAUM · $78.8M to $92.0MApr 11, 2023 to Jan 4, 2024
- Individual RAUM · $99.7M to $112MApr 11, 2023 to Jan 4, 2024
- Non-discretionary RAUM · $45.3M to $86.4MApr 11, 2023 to Jan 4, 2024
- Pension RAUM · $1.4M to $996,775Apr 11, 2023 to Jan 4, 2024
- RAUM · $184M to $210MApr 11, 2023 to Jan 4, 2024
- Accounts · 1,146 to 1,159Feb 3, 2022 to Jan 6, 2023
- Advisory employees · 3 to 4Feb 3, 2022 to Jan 6, 2023
- Advisory activities · 5 to 3Feb 3, 2022 to Jan 6, 2023
- HNW clients · 47 to 34Feb 3, 2022 to Jan 6, 2023
- Individual clients · 507 to 518Feb 3, 2022 to Jan 6, 2023
- Employees · 4 to 5Feb 3, 2022 to Jan 6, 2023
- State-registered IARs · 3 to 4Feb 3, 2022 to Jan 6, 2023
- Discretionary RAUM · $163M to $138MFeb 3, 2022 to Jan 6, 2023
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
- Business email
- l••••••@b•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- k••••@b•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- s•••••@b•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 262-784-7206reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 877-563-3233reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 262-784-7205reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- B••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 262-784-7205reportedpublic record, Form ADV, Jul 28, 2026
- Team page
- b•••••••••.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
- $70.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026