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

T•• M••••• F••• S••••

Former SEC-registered adviserWaukesha, WisconsinCRD 138243SEC 801-67946IAPD
Legal name T••••••••• L••
Latest filing Apr 12, 2013
First filing on the tape Dec 13, 2011 · 8 filings
RAUM
$121M
reported, Item 5.F
Discretionary
100%
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
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$121M as of Feb 19, 2013
Feb 21, 2012$98.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 19, 2013
Feb 21, 20120 then
Employees (5.A): 3
Private funds: no history
RAUM +23% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 12, 2013; 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
unknownderivedHNW RAUM over HNW clients
Average account
$199,158derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+23%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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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)
  • 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
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
609reported
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
Left, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • B••••••• J•••••• E••••• · Presidentcontrol
    since 08/2005 · owns less than 5%
  • C••••••••• J•••••• M••••• · Managing Director, Chief Compliance Officer & Senior Vice President - Investmentscontrol
    since 12/2011 · owns less than 5%
Entity owners
  • T••• N••••••• I•• L•• · Owner
    direct · owns 75% or more
Related persons
Schedule D 7.A
Advisers that list T•• M••••• F••• S•••• as a related person
Offices
Schedule D 1.F, the 25 largest
  • Appleton, WI
What changed
consecutive filings, newest first
  • Accounts · 567 to 609
    Dec 11, 2012 to Feb 19, 2013
  • Advisory employees · 2 to 3
    Dec 11, 2012 to Feb 19, 2013
  • Employees · 2 to 3
    Dec 11, 2012 to Feb 19, 2013
  • Discretionary RAUM · $98.2M to $121M
    Dec 11, 2012 to Feb 19, 2013
  • RAUM · $98.2M to $121M
    Dec 11, 2012 to Feb 19, 2013
  • Advisory employees · unset to 2.0
    Feb 21, 2012 to Nov 8, 2012
  • Employees · unset to 2.0
    Feb 21, 2012 to Nov 8, 2012
  • Accounts · 796 to 567
    Jan 9, 2012 to Feb 21, 2012
  • Financial planning clients · 0 to 1-10
    Jan 9, 2012 to Feb 21, 2012
  • Discretionary RAUM · $115M to $98.2M
    Jan 9, 2012 to Feb 21, 2012
  • RAUM · $115M to $98.2M
    Jan 9, 2012 to Feb 21, 2012
  • Insurance-licensed employees · unset to 0.0
    Dec 13, 2011 to Jan 9, 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