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
M•••••• F•••••••• G••••• L••
Latest filing Mar 3, 2026
First filing on the tape Mar 8, 2012 · 23 filings
SEC status approved since Mar 13, 2007
RAUM
$254M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
97%
$247M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$50.8M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$254M as of Mar 3, 2026
Mar 8, 2012$106M then
HNW client RAUM$213M as of Mar 3, 2026
Mar 27, 2018$147M then
State-registered IARs (5.B.3)5 as of Mar 3, 2026
Mar 14, 20135 then
Employees (5.A)5 as of Mar 3, 2026
Mar 14, 20135 then
Private funds: no history
RAUM -0.2% over the last fiscal year-8.0% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 3, 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
- $50.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 33derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $288,531derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -0.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.9%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $77.8M, 146 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$213M84%
- Individuals$34.5M14%
- Corporations and businesses$6.9M2.7%
- Individual clients
- 89reported
- HNW clients
- 77reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 881reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $77.8M for 146 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K••• M•••••• A•••••Chartered Financial Consultant | Madison, Wi | Aug 10, 2005 | 31 y | 2 |
| D••••• A••••• G•••••Certified Financial Planner, Chartered Financial Consultant | Madison, Wi | Aug 12, 2005 | 29 y | 1 |
| B•••• A•••• H••••••Chartered Financial Analyst | Madison, Wi | Jun 7, 2023 | 30 y | 2 |
| O••• A•••••• A••••• | Madison, Wi | Dec 20, 2023 | 10 y | 0 |
| E•••• R•••••• A••••• | Madison, Wi | Jan 2, 2025 | 12 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 headcount2 left over 36 months
Left, latest
- B•••• K•••• D••••• to W•••••• P••••••• L••Jan 20, 2025 · RIA to a newly registered adviser
- M•••••• A•••••••• G•••••• to W•••••• P••••••• L••Oct 21, 2024 · RIA to RIA
Joined, latest
- B•••• A•••• H•••••• from N••••••• C•••••• M••••••••• L••Jun 7, 2023 · Other
- B•••• K•••• D••••• from T••••••• I••••••••• M••••••••• I•••Feb 5, 2010 · Other
- D••••• A••••• G••••• from F•••••••• I••••••••• A••••••• I•••••••••Aug 12, 2005 · Other
- K••• M•••••• A••••• from C•••••• S••••• • C••• I•••Aug 10, 2005 · Other
- M•••••• A•••••••• G•••••• from F•••••••• I••••••••• A••••••• I•••••••••Jul 22, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• K•••• M•••••• · Membercontrolsince 08/2005 · owns 25% to 50%
- G••••••• M••••••• A•••••••• · Managing Membercontrolsince 08/2005 · owns 25% to 50%
- G•••••• D•••••• A••••• · Membercontrolsince 08/2005 · owns 25% to 50%
- H•••• S••••• M•••••• · Chief Compliance Officersince 09/2022 · owns less than 5%
Related persons
Schedule D 7.A
- M•••••• V•••••• C••••••• L••investment adviserpooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Madison, Wi · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 919 to 881Mar 11, 2025 to Mar 3, 2026
- HNW clients · 85 to 77Mar 11, 2025 to Mar 3, 2026
- Individual clients · 86 to 89Mar 11, 2025 to Mar 3, 2026
- Assets in custody · $54.3M to $77.8MMar 11, 2025 to Mar 3, 2026
- Discretionary RAUM · $249M to $249MMar 11, 2025 to Mar 3, 2026
- HNW RAUM · $225M to $213MMar 11, 2025 to Mar 3, 2026
- Individual RAUM · $28.2M to $34.5MMar 11, 2025 to Mar 3, 2026
- Non-discretionary RAUM · $5.1M to $4.7MMar 11, 2025 to Mar 3, 2026
- RAUM · $255M to $254MMar 11, 2025 to Mar 3, 2026
- Accounts · 1,279 to 919Feb 28, 2024 to Mar 11, 2025
- Advisory employees · 6 to 5Feb 28, 2024 to Mar 11, 2025
- HNW clients · 137 to 85Feb 28, 2024 to Mar 11, 2025
- Individual clients · 110 to 86Feb 28, 2024 to Mar 11, 2025
- Assets in custody · $153M to $54.3MFeb 28, 2024 to Mar 11, 2025
- Employees · 8 to 5Feb 28, 2024 to Mar 11, 2025
- Financial planning clients · 0 to 0Feb 28, 2024 to Mar 11, 2025
- State-registered IARs · 6 to 5Feb 28, 2024 to Mar 11, 2025
- Discretionary RAUM · $421M to $249MFeb 28, 2024 to Mar 11, 2025
- HNW RAUM · $394M to $225MFeb 28, 2024 to Mar 11, 2025
- Individual RAUM · $32.6M to $28.2MFeb 28, 2024 to Mar 11, 2025
- Non-discretionary RAUM · $10.0M to $5.1MFeb 28, 2024 to Mar 11, 2025
- RAUM · $431M to $255MFeb 28, 2024 to Mar 11, 2025
- Accounts · 995 to 1,279Feb 13, 2023 to Feb 28, 2024
- Advisory employees · 4 to 6Feb 13, 2023 to Feb 28, 2024
- HNW clients · 122 to 137Feb 13, 2023 to Feb 28, 2024
- Individual clients · 113 to 110Feb 13, 2023 to Feb 28, 2024
- Assets in custody · $88.5M to $153MFeb 13, 2023 to Feb 28, 2024
- Employees · 6 to 8Feb 13, 2023 to Feb 28, 2024
- State-registered IARs · 4 to 6Feb 13, 2023 to Feb 28, 2024
- Discretionary RAUM · $317M to $421MFeb 13, 2023 to Feb 28, 2024
- HNW RAUM · $287M to $394MFeb 13, 2023 to Feb 28, 2024
- Individual RAUM · $36.8M to $32.6MFeb 13, 2023 to Feb 28, 2024
- Non-discretionary RAUM · $9.0M to $10.0MFeb 13, 2023 to Feb 28, 2024
- RAUM · $326M to $431MFeb 13, 2023 to Feb 28, 2024
- Accounts · 1,132 to 995Sep 30, 2022 to Feb 13, 2023
- Advisory employees · 5 to 4Sep 30, 2022 to Feb 13, 2023
- HNW clients · 115 to 122Sep 30, 2022 to Feb 13, 2023
- Individual clients · 105 to 113Sep 30, 2022 to Feb 13, 2023
- Assets in custody · $99.5M to $88.5MSep 30, 2022 to Feb 13, 2023
- State-registered IARs · 5 to 4Sep 30, 2022 to Feb 13, 2023
Signals
4 dated events
- M•••••• F•••••••• G••••• L•• reported RAUM $254.6M, down 41% from $431.1M (2024-02-28 to 2025-03-11)Mar 11, 2025 · RAUM change · derived
- B•••• K•••• D••••• left M•••••• F•••••••• G••••• L•• for W•••••• P••••••• L•• (registered 2025-01-10)Jan 20, 2025 · Advisor changed firm · fact
- M•••••• A•••••••• G•••••• left M•••••• F•••••••• G••••• L•• for W•••••• P••••••• L•• (registered 2026-07-09)Oct 21, 2024 · Advisor changed firm · fact
- M•••••• F•••••••• G••••• L•• reported RAUM $431.1M, up 32% from $326.3M (2023-02-13 to 2024-02-28)Feb 28, 2024 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 608-223-9211reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 866-696-4300reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- M••••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (608) 223-9211reportedpublic record, Form ADV, Mar 3, 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
- $50.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026