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••••••• C••••••• L••
Latest filing May 11, 2026
First filing on the tape Dec 20, 2011 · 25 filings
SEC status approved since Jun 4, 2010
RAUM
$747M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
4.9%
$36.3M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$747M
derived; firm RAUM over IAPD count
Employees
9
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$747M as of May 11, 2026
Mar 29, 2012$699M then
HNW client RAUM$36.3M as of May 11, 2026
Mar 26, 2018$80.5M then
State-registered IARs (5.B.3)0 as of May 11, 2026
Mar 25, 20130 then
Employees (5.A)9 as of May 11, 2026
Mar 25, 20138 then
Private funds4 as of May 11, 2026
Mar 29, 20124 then
RAUM +3.0% over the last fiscal year+3.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 11, 2026; 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
- $747MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $49.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 9.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.0%derivedbetween 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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $653M, 4 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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
- Pooled investment vehicles$699M94%
- High-net-worth individuals$36.3M4.9%
- Pension and profit-sharing plans$11.4M1.5%
- Individual clients
- n/areported
- HNW clients
- 9reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 15reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $653M for 4 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.05 fund_share=0.94 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••••• A••••• P••••••• | Milwaukee, Wi | May 26, 2004 | 37 y | 2 |
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
- C•••••• A••••• P••••••• from F•••• P•••••• L••May 26, 2004 · Other
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••••• S•••••• I••••••••• L•• | Hedge Fund | $381M | 74 | Mar 29, 2012 |
| S••••••• Q•••• L•• | Hedge Fund | $126M | 41 | Mar 29, 2012 |
| S••••••• S•••••• I••••••••• I• L•• | Hedge Fund | $74.6M | 19 | Mar 29, 2012 |
| H•••••• H••••••• L•• | Hedge Fund | $40.1M | 29 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- P•••••••• C••••••• A••••• · President, Sole Membercontrolsince 03/2004 · owns 75% or more
- P•••••• S•••••• F•••• · Vice President And Chief Operations Officercontrolsince 07/2018 · owns less than 5%
- R••••••• V•••••••• E•••••••• · Vice President, Treasurer & Chief Compliance Officercontrolsince 11/2019 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Employees · 10 to 9Mar 24, 2026 to May 11, 2026
- HNW clients · 8 to 9Mar 27, 2025 to Mar 24, 2026
- Assets in custody · $634M to $653MMar 27, 2025 to Mar 24, 2026
- Employees · 8 to 10Mar 27, 2025 to Mar 24, 2026
- Discretionary RAUM · $724M to $747MMar 27, 2025 to Mar 24, 2026
- HNW RAUM · $29.0M to $36.3MMar 27, 2025 to Mar 24, 2026
- Pension RAUM · $27.4M to $11.4MMar 27, 2025 to Mar 24, 2026
- Pooled vehicle RAUM · $668M to $699MMar 27, 2025 to Mar 24, 2026
- RAUM · $724M to $747MMar 27, 2025 to Mar 24, 2026
- Assets in custody · $622M to $634MMar 27, 2024 to Mar 27, 2025
- Financial planning clients · 0 to 0Mar 27, 2024 to Mar 27, 2025
- Discretionary RAUM · $729M to $724MMar 27, 2024 to Mar 27, 2025
- HNW RAUM · $31.3M to $29.0MMar 27, 2024 to Mar 27, 2025
- Pension RAUM · $30.2M to $27.4MMar 27, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $667M to $668MMar 27, 2024 to Mar 27, 2025
- RAUM · $729M to $724MMar 27, 2024 to Mar 27, 2025
- Accounts · 16 to 15Apr 26, 2023 to Mar 27, 2024
- Advisory employees · 5 to 4Apr 26, 2023 to Mar 27, 2024
- HNW clients · 9 to 8Apr 26, 2023 to Mar 27, 2024
- Assets in custody · $561M to $622MApr 26, 2023 to Mar 27, 2024
- Employees · 9 to 8Apr 26, 2023 to Mar 27, 2024
- Discretionary RAUM · $667M to $729MApr 26, 2023 to Mar 27, 2024
- HNW RAUM · $31.3M to $31.3MApr 26, 2023 to Mar 27, 2024
- Pension RAUM · $30.1M to $30.2MApr 26, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $605M to $667MApr 26, 2023 to Mar 27, 2024
- RAUM · $667M to $729MApr 26, 2023 to Mar 27, 2024
- Assets in custody · $748M to $561MMar 23, 2022 to Mar 29, 2023
- Discretionary RAUM · $889M to $667MMar 23, 2022 to Mar 29, 2023
- HNW RAUM · $42.5M to $31.3MMar 23, 2022 to Mar 29, 2023
- Pension RAUM · $38.1M to $30.1MMar 23, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $808M to $605MMar 23, 2022 to Mar 29, 2023
- RAUM · $889M to $667MMar 23, 2022 to Mar 29, 2023
- Accounts · 15 to 16Mar 25, 2021 to Mar 23, 2022
- HNW clients · 8 to 9Mar 25, 2021 to Mar 23, 2022
- Assets in custody · $599M to $748MMar 25, 2021 to Mar 23, 2022
- Discretionary RAUM · $724M to $889MMar 25, 2021 to Mar 23, 2022
- HNW RAUM · $38.5M to $42.5MMar 25, 2021 to Mar 23, 2022
- Pension RAUM · $34.0M to $38.1MMar 25, 2021 to Mar 23, 2022
- Pooled vehicle RAUM · $651M to $808MMar 25, 2021 to Mar 23, 2022
- RAUM · $724M to $889MMar 25, 2021 to Mar 23, 2022
Signals
1 dated events
- Frank Steven Pulito (Vice President And Chief Operations Officer) appeared on Schedule A of S••••••• C••••••• L••Mar 26, 2019 · Control person joined · 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
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 414-256-3380reportedpublic record, Form ADV, May 11, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $747Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026