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
R••••••••• C•••••• M••••••••• L••
Latest filing Aug 17, 2026
First filing on the tape Mar 30, 2012 · 37 filings
SEC status approved since May 18, 2004
RAUM
$582M
reported, Item 5.F
Discretionary
77%
of RAUM
Private clients
100%
$582M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$83.2M
derived; firm RAUM over IAPD count
Employees
9
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$582M as of Aug 17, 2026
Mar 30, 2012$218M then
HNW client RAUM$534M as of Aug 17, 2026
Mar 15, 2018$217M then
State-registered IARs (5.B.3)7 as of Aug 17, 2026
Mar 30, 20120 then
Employees (5.A)9 as of Aug 17, 2026
Mar 28, 20136 then
Private funds: no history
RAUM +11% over the last fiscal year+13% a year over threeIARs 7 to 7offices 0 to 1
Practice profile
derived from the filing of Aug 17, 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
- $83.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 37derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $2.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 77%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +13%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Custody
- $138M, 103 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$534M92%
- Individuals$48.1M8.3%
- Charitable organizations$551,9820.1%
- Individual clients
- 108reported
- HNW clients
- 153reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 261reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $138M for 103 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• P• R•••••••••Chartered Financial Consultant | Naples, Fl | May 18, 2004 | 28 y | 1 |
| M•••••• R••••••••• | Menomonee Falls, Wi | Nov 5, 2007 | 44 y | 0 |
| N••••• D••••• C•••••Certified Financial Planner | Menomonee Falls, Wi | Feb 18, 2015 | 12 y | 0 |
| M••• D• S••••• | Menomonee Falls, Wi | Dec 20, 2019 | 33 y | 0 |
| J••••••• L• K•••• | Menomonee Falls, Wi | Jul 12, 2024 | 14 y | 0 |
| B•••• R•••••• B••••• | Menomonee Falls, Wi | Jan 1, 2025 | 12 y | 0 |
| D••••• P•••••• B••••Chartered Financial Analyst | Menomonee Falls, Wi | Jan 21, 2025 | 27 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
- K••• R••••• H•••••••• to L•••••• F•••••••• G••••• I•••Jan 18, 2017 · Other
- P••• A• Z•••• to E••••• J••••Mar 8, 2016 · Other
- E••• A••• B•••• to I••••••••• C•••••• O• A••••••• I•••Jul 11, 2014 · Other
- R•••••• J••• G•••••• to G•••••• • H••••• F••••••••• I•••Jul 20, 2010 · Other
Joined, latest
- D••••• P•••••• B•••• from A•••• W••••• M••••••••• L••Jan 21, 2025 · Other
- K••• R••••• H•••••••• from K•••••• F•••••••• A••••••• L••Dec 4, 2013 · Other
- E••• A••• B•••• from A•••• W••••• M••••••••• L••Nov 28, 2012 · Other
- P••• A• Z•••• from V•••• C••••••••• L••Mar 3, 2008 · Other
- R•••••• J••• G•••••• from F•••• H•••••••• C••••••••• I•••May 18, 2004 · Other
- S•••• P• R••••••••• from F•••• H•••••••• C••••••••• I•••May 18, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••••••• S••••• P•••••• · President & Chief Compliance Officercontrolsince 04/2004 · owns less than 5%
- R••••••••• P•••••••• L• · Trusteecontrolsince 04/2004 · owns 50% to 75% of P•• I••••••••• T••••
- R••••••••• S••••• P•••••• · Trusteecontrolsince 12/2009 · owns 25% to 50% of S•• I••••••••• T••••
Entity owners
- P•• I••••••••• T•••• · Memberdirect · owns 50% to 75%
- S•• I••••••••• T•••• · Memberdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- R••••••••• F•••••••• G••••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Menomonee Falls, Wi · principal | 7 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 233 to 261Nov 21, 2025 to Mar 24, 2026
- HNW clients · 139 to 153Nov 21, 2025 to Mar 24, 2026
- Individual clients · 93 to 108Nov 21, 2025 to Mar 24, 2026
- Assets in custody · $116M to $138MNov 21, 2025 to Mar 24, 2026
- Discretionary RAUM · $409M to $447MNov 21, 2025 to Mar 24, 2026
- HNW RAUM · $482M to $534MNov 21, 2025 to Mar 24, 2026
- Individual RAUM · $43.6M to $48.1MNov 21, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $117M to $135MNov 21, 2025 to Mar 24, 2026
- RAUM · $526M to $582MNov 21, 2025 to Mar 24, 2026
- BD registered reps · 1 to 2Mar 24, 2025 to Nov 21, 2025
- Employees · 8 to 9Mar 24, 2025 to Nov 21, 2025
- Other offices · 0 to 1Mar 24, 2025 to Nov 21, 2025
- Accounts · 222 to 233Jun 19, 2024 to Mar 24, 2025
- Advisory employees · 6 to 7Jun 19, 2024 to Mar 24, 2025
- HNW clients · 126 to 139Jun 19, 2024 to Mar 24, 2025
- Individual clients · 95 to 93Jun 19, 2024 to Mar 24, 2025
- Assets in custody · $70.9M to $116MJun 19, 2024 to Mar 24, 2025
- Employees · 7 to 8Jun 19, 2024 to Mar 24, 2025
- Financial planning clients · 101-250 to 101-250Jun 19, 2024 to Mar 24, 2025
- State-registered IARs · 6 to 7Jun 19, 2024 to Mar 24, 2025
- Discretionary RAUM · $348M to $409MJun 19, 2024 to Mar 24, 2025
- HNW RAUM · $398M to $482MJun 19, 2024 to Mar 24, 2025
- Individual RAUM · $46.9M to $43.6MJun 19, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $97.9M to $117MJun 19, 2024 to Mar 24, 2025
- RAUM · $445M to $526MJun 19, 2024 to Mar 24, 2025
- BD registered reps · 0 to 1Mar 20, 2024 to Jun 19, 2024
- Assets in custody · $31.1M to $70.9MMar 20, 2024 to Jun 19, 2024
- Employees · 6 to 7Mar 20, 2024 to Jun 19, 2024
- Accounts · 204 to 222Mar 23, 2023 to Mar 20, 2024
- Advisory activities · 4 to 3Mar 23, 2023 to Mar 20, 2024
- HNW clients · 122 to 126Mar 23, 2023 to Mar 20, 2024
- Individual clients · 81 to 95Mar 23, 2023 to Mar 20, 2024
- Assets in custody · $31.5M to $31.1MMar 23, 2023 to Mar 20, 2024
- Discretionary RAUM · $322M to $348MMar 23, 2023 to Mar 20, 2024
- HNW RAUM · $368M to $398MMar 23, 2023 to Mar 20, 2024
- Individual RAUM · $34.5M to $46.9MMar 23, 2023 to Mar 20, 2024
- Non-discretionary RAUM · $81.0M to $97.9MMar 23, 2023 to Mar 20, 2024
- RAUM · $403M to $445MMar 23, 2023 to Mar 20, 2024
- Accounts · 189 to 204Mar 17, 2022 to Mar 23, 2023
- Corporate clients · 1 to 0Mar 17, 2022 to Mar 23, 2023
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- R••••••••• C•••••• M••••••••• L•• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business email
- i•••@r•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 262-255-4100reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 888-255-4100reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/richardson-financialreportedpublic record, Form ADV, Sep 18, 2026
- Website
- R•••••••••-FINANCIAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 262-255-4100reportedpublic record, Form ADV, Aug 17, 2026
- Contact form
- r•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- r•••••••••.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
- $83.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026