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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Former SEC-registered adviser

C•••••• A•••• M••••••••• L••

Former SEC-registered adviserMilwaukee, WisconsinCRD 131394SEC 801-63066IAPD
Latest filing Mar 29, 2019
First filing on the tape Mar 20, 2012 · 18 filings
RAUM
$1.7B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
2.6%
$43.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
17
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$1.7B as of Mar 29, 2019
Mar 20, 2012$1.9B then
HNW client RAUM$43.9M as of Mar 29, 2019
Mar 29, 2018$64.9M then
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 20, 20120 then
Employees (5.A)17 as of Mar 29, 2019
Mar 5, 201323 then
Private funds: no history
RAUM -27% over the last fiscal year-9.8% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Mar 29, 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
$3.1MderivedHNW RAUM over HNW clients
Average account
$33.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
63%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-27%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 assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
  • 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
  • Pension and profit-sharing plans$469M28%
  • State and municipal entities$399M24%
  • Corporations and businesses$341M20%
  • Investment companies$234M14%
  • Insurance companies$153M9.0%
  • Charitable organizations$53.1M3.1%
  • High-net-worth individuals$43.9M2.6%
Individual clients
n/areported
HNW clients
14reported
Pension plan clients
5reported
Charitable clients
12reported
Accounts
50reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B•••• B••••• R•••••• · Portfolio Manager And Principalcontrol
      since 04/2004 · owns 10% to 25%
    • E••• T•••••• J••••• · Portfolio Manager And Principalcontrol
      since 04/2004 · owns 5% to 10%
    • H•••• L•••• K•••••••• · Chief Operating Officer And Chief Compliance Officercontrol
      since 04/2004 · owns 10% to 25%
    • P•••••• J•••• C••• · Portfolio Manager And Principalcontrol
      since 04/2004 · owns 10% to 25%
    • R•••• B••••• C••••••• · Shareholdercontrol
      since 01/2000 · owns 75% or more of C• F••••••••• I•••
    Entity owners
    • E•• F••••• L•••••• P••••••••• · Member
      direct · owns 5% to 10%
    • P••••• F••••• L•••••• P••••••••• · Member
      direct · owns 10% to 25%
    • W••• L••••••• L•• · Member
      direct · owns 25% to 50%
    • C• F••••••••• I••• · Managing Member
      indirect · owns 75% or more of W••• L••••••• L••
    Related persons
    Schedule D 7.A
    Advisers that list C•••••• A•••• M••••••••• L•• as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 69 to 50
      Feb 4, 2019 to Mar 29, 2019
    • Advisory employees · 11 to 8
      Feb 4, 2019 to Mar 29, 2019
    • Advisory activities · 4 to 2
      Feb 4, 2019 to Mar 29, 2019
    • BD registered reps · 2 to 0
      Feb 4, 2019 to Mar 29, 2019
    • Charity clients · 11 to 12
      Feb 4, 2019 to Mar 29, 2019
    • HNW clients · 28 to 14
      Feb 4, 2019 to Mar 29, 2019
    • Pension plan clients · 6 to 5
      Feb 4, 2019 to Mar 29, 2019
    • Employees · 24 to 17
      Feb 4, 2019 to Mar 29, 2019
    • Other offices · 1 to 0
      Feb 4, 2019 to Mar 29, 2019
    • Discretionary RAUM · $2.3B to $1.7B
      Feb 4, 2019 to Mar 29, 2019
    • HNW RAUM · $64.9M to $43.9M
      Feb 4, 2019 to Mar 29, 2019
    • Pension RAUM · $657M to $469M
      Feb 4, 2019 to Mar 29, 2019
    • RAUM · $2.3B to $1.7B
      Feb 4, 2019 to Mar 29, 2019
    • Accounts · 85 to 69
      Mar 31, 2017 to Mar 29, 2018
    • Advisory employees · 12 to 11
      Mar 31, 2017 to Mar 29, 2018
    • BD registered reps · 3 to 2
      Mar 31, 2017 to Mar 29, 2018
    • Charity clients · unset to 11.0
      Mar 31, 2017 to Mar 29, 2018
    • Corporate clients · unset to 5.0
      Mar 31, 2017 to Mar 29, 2018
    • HNW clients · unset to 28.0
      Mar 31, 2017 to Mar 29, 2018
    • Pension plan clients · unset to 6.0
      Mar 31, 2017 to Mar 29, 2018
    • Employees · 25 to 24
      Mar 31, 2017 to Mar 29, 2018
    • Other offices · unset to 1.0
      Mar 31, 2017 to Mar 29, 2018
    • Discretionary RAUM · $2.5B to $2.3B
      Mar 31, 2017 to Mar 29, 2018
    • HNW RAUM · unset to 64899588.0
      Mar 31, 2017 to Mar 29, 2018
    • Pension RAUM · unset to 657299260.0
      Mar 31, 2017 to Mar 29, 2018
    • RAUM · $2.5B to $2.3B
      Mar 31, 2017 to Mar 29, 2018
    • Accounts · 103 to 85
      Aug 26, 2016 to Mar 27, 2017
    • Advisory employees · 11 to 12
      Aug 26, 2016 to Mar 27, 2017
    • BD registered reps · 4 to 3
      Aug 26, 2016 to Mar 27, 2017
    • State-registered IARs · 4 to 0
      Aug 26, 2016 to Mar 27, 2017
    • Discretionary RAUM · $2.3B to $2.5B
      Aug 26, 2016 to Mar 27, 2017
    • RAUM · $2.3B to $2.5B
      Aug 26, 2016 to Mar 27, 2017
    • Accounts · 82 to 103
      Mar 31, 2015 to Mar 24, 2016
    • Discretionary RAUM · $2.3B to $2.3B
      Mar 31, 2015 to Mar 24, 2016
    • RAUM · $2.3B to $2.3B
      Mar 31, 2015 to Mar 24, 2016
    • Accounts · 105 to 82
      Apr 2, 2014 to Mar 31, 2015
    • Discretionary RAUM · $2.8B to $2.3B
      Apr 2, 2014 to Mar 31, 2015
    • RAUM · $2.8B to $2.3B
      Apr 2, 2014 to Mar 31, 2015
    • Accounts · 98 to 105
      Oct 14, 2013 to Mar 4, 2014
    • Advisory employees · 10 to 11
      Oct 14, 2013 to Mar 4, 2014
    Signals
    1 dated events
    • C•••••• A•••• M••••••••• L•• reported RAUM $1.7B, down 27% from $2.3B (2019-02-04 to 2019-03-29)
      Mar 29, 2019 · RAUM change · derived
    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