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

A•••••• I••••••••• M••••••••• I•••

Former SEC-registered adviserBrookfield, WisconsinCRD 136406SEC 801-70076IAPD
Latest filing Mar 14, 2017
First filing on the tape Mar 16, 2012 · 11 filings
RAUM
$304M
reported, Item 5.F
Discretionary
22%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$304M as of Mar 14, 2017
Mar 16, 2012$225M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 14, 2017
Feb 13, 20132 then
Employees (5.A)4 as of Mar 14, 2017
Feb 13, 20132 then
Private funds: no history
RAUM +12% over the last fiscal year+5.3% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 14, 2017; every figure names its basis
RAUM per advisor
$101MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$1.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
22%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+12%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 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, portfolio management for businesses and institutions, selection of other advisersreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
172reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Joined, latest
none on the tape
    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
      • A••••••• R•••••• C•••••• · Chief Compliance Officer / Presidentcontrol
        since 06/2005 · owns 75% or more
      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
      • Accounts · 163 to 172
        Mar 21, 2016 to Mar 14, 2017
      • Discretionary RAUM · $53.3M to $66.0M
        Mar 21, 2016 to Mar 14, 2017
      • Non-discretionary RAUM · $217M to $238M
        Mar 21, 2016 to Mar 14, 2017
      • RAUM · $270M to $304M
        Mar 21, 2016 to Mar 14, 2017
      • Accounts · 140 to 163
        Nov 5, 2015 to Mar 21, 2016
      • Advisory employees · 2 to 3
        Nov 5, 2015 to Mar 21, 2016
      • State-registered IARs · 2 to 3
        Nov 5, 2015 to Mar 21, 2016
      • Discretionary RAUM · $54.5M to $53.3M
        Nov 5, 2015 to Mar 21, 2016
      • Non-discretionary RAUM · $214M to $217M
        Nov 5, 2015 to Mar 21, 2016
      • RAUM · $269M to $270M
        Nov 5, 2015 to Mar 21, 2016
      • Advisory employees · 3 to 2
        Mar 23, 2015 to Nov 5, 2015
      • Employees · 3 to 4
        Mar 23, 2015 to Nov 5, 2015
      • State-registered IARs · 3 to 2
        Mar 23, 2015 to Nov 5, 2015
      • Accounts · 139 to 140
        May 6, 2014 to Mar 23, 2015
      • Discretionary RAUM · $45.0M to $54.5M
        May 6, 2014 to Mar 23, 2015
      • Non-discretionary RAUM · $215M to $214M
        May 6, 2014 to Mar 23, 2015
      • RAUM · $260M to $269M
        May 6, 2014 to Mar 23, 2015
      • Advisory employees · 2 to 3
        Feb 11, 2014 to May 6, 2014
      • Employees · 2 to 3
        Feb 11, 2014 to May 6, 2014
      • State-registered IARs · 2 to 3
        Feb 11, 2014 to May 6, 2014
      • Accounts · 134 to 139
        Feb 13, 2013 to Feb 11, 2014
      • Discretionary RAUM · $54.0M to $45.0M
        Feb 13, 2013 to Feb 11, 2014
      • Non-discretionary RAUM · $165M to $215M
        Feb 13, 2013 to Feb 11, 2014
      • RAUM · $219M to $260M
        Feb 13, 2013 to Feb 11, 2014
      • Accounts · 102 to 134
        Sep 25, 2012 to Feb 13, 2013
      • Advisory employees · unset to 2.0
        Sep 25, 2012 to Feb 13, 2013
      • Employees · unset to 2.0
        Sep 25, 2012 to Feb 13, 2013
      • Financial planning clients · 0 to 1-10
        Sep 25, 2012 to Feb 13, 2013
      • State-registered IARs · unset to 2.0
        Sep 25, 2012 to Feb 13, 2013
      • Discretionary RAUM · $45.1M to $54.0M
        Sep 25, 2012 to Feb 13, 2013
      • Non-discretionary RAUM · $180M to $165M
        Sep 25, 2012 to Feb 13, 2013
      • RAUM · $225M to $219M
        Sep 25, 2012 to Feb 13, 2013
      • HQ city · unset to BROOKFIELD
        Mar 16, 2012 to Apr 16, 2012
      • HQ state · unset to WI
        Mar 16, 2012 to Apr 16, 2012
      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.
      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