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

F•••••••• W••••• M••••••••• L••

Former SEC-registered adviserMadison, WisconsinCRD 140281SEC 801-67249IAPD
Latest filing Jun 30, 2020
First filing on the tape Feb 29, 2012 · 14 filings
RAUM
$236M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$236M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$236M as of Mar 26, 2020
Feb 29, 2012$131M then
HNW client RAUM$132M as of Mar 26, 2020
Mar 30, 2018$110M then
State-registered IARs (5.B.3)2 as of Mar 26, 2020
Apr 1, 20132 then
Employees (5.A)3 as of Mar 26, 2020
Apr 1, 20134 then
Private funds: no history
RAUM +33% over the last fiscal year+2.7% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jun 30, 2020; every figure names its basis
RAUM per advisor
$118MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
170derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.9MderivedHNW RAUM over HNW clients
Average account
$188,800derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+33%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-1.4%derived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Wrap fee program
$236MreportedItem 5.I
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$132M56%
  • Individuals$104M44%
Individual clients
271reported
HNW clients
69reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1,250reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, 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
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
    • H•••••• D•••••• P••••• · President And Chief Compliance Officercontrol
      since 01/2006 · 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 · 1,025 to 1,250
      Jun 25, 2019 to Mar 26, 2020
    • BD registered reps · 3 to 2
      Jun 25, 2019 to Mar 26, 2020
    • HNW clients · 65 to 69
      Jun 25, 2019 to Mar 26, 2020
    • Individual clients · 280 to 271
      Jun 25, 2019 to Mar 26, 2020
    • Discretionary RAUM · $177M to $236M
      Jun 25, 2019 to Mar 26, 2020
    • HNW RAUM · $110M to $132M
      Jun 25, 2019 to Mar 26, 2020
    • Individual RAUM · $67.0M to $104M
      Jun 25, 2019 to Mar 26, 2020
    • RAUM · $177M to $236M
      Jun 25, 2019 to Mar 26, 2020
    • Accounts · 1,000 to 1,025
      Mar 30, 2018 to Mar 28, 2019
    • Individual clients · 270 to 280
      Mar 30, 2018 to Mar 28, 2019
    • Discretionary RAUM · $187M to $177M
      Mar 30, 2018 to Mar 28, 2019
    • Individual RAUM · $77.0M to $67.0M
      Mar 30, 2018 to Mar 28, 2019
    • RAUM · $187M to $177M
      Mar 30, 2018 to Mar 28, 2019
    • Wrap assets (manager) · unset to 0.0
      Mar 30, 2018 to Mar 28, 2019
    • Wrap assets (sponsor) · unset to 0.0
      Mar 30, 2018 to Mar 28, 2019
    • Accounts · 3,131 to 1,000
      Apr 7, 2017 to Mar 30, 2018
    • Advisory employees · 3 to 2
      Apr 7, 2017 to Mar 30, 2018
    • Advisory activities · 4 to 2
      Apr 7, 2017 to Mar 30, 2018
    • Charity clients · unset to 0.0
      Apr 7, 2017 to Mar 30, 2018
    • Corporate clients · unset to 0.0
      Apr 7, 2017 to Mar 30, 2018
    • HNW clients · unset to 65.0
      Apr 7, 2017 to Mar 30, 2018
    • Individual clients · unset to 270.0
      Apr 7, 2017 to Mar 30, 2018
    • Pension plan clients · unset to 0.0
      Apr 7, 2017 to Mar 30, 2018
    • Pooled vehicle clients · unset to 0.0
      Apr 7, 2017 to Mar 30, 2018
    • Insurance-licensed employees · 2 to 0
      Apr 7, 2017 to Mar 30, 2018
    • Financial planning clients · 1-10 to 0
      Apr 7, 2017 to Mar 30, 2018
    • Other offices · unset to 0.0
      Apr 7, 2017 to Mar 30, 2018
    • Discretionary RAUM · $160M to $187M
      Apr 7, 2017 to Mar 30, 2018
    • HNW RAUM · unset to 110000000.0
      Apr 7, 2017 to Mar 30, 2018
    • Individual RAUM · unset to 77000000.0
      Apr 7, 2017 to Mar 30, 2018
    • Non-discretionary RAUM · $58.0M to $0
      Apr 7, 2017 to Mar 30, 2018
    • RAUM · $218M to $187M
      Apr 7, 2017 to Mar 30, 2018
    • Accounts · 3,046 to 3,131
      Mar 16, 2016 to Mar 24, 2017
    • Employees · 5 to 3
      Mar 16, 2016 to Mar 24, 2017
    • Discretionary RAUM · $133M to $160M
      Mar 16, 2016 to Mar 24, 2017
    • Non-discretionary RAUM · $67.0M to $58.0M
      Mar 16, 2016 to Mar 24, 2017
    • RAUM · $200M to $218M
      Mar 16, 2016 to Mar 24, 2017
    • Accounts · 2,585 to 3,046
      Nov 19, 2015 to Mar 16, 2016
    • Insurance-licensed employees · 0 to 2
      Nov 19, 2015 to Mar 16, 2016
    • Discretionary RAUM · $130M to $133M
      Nov 19, 2015 to Mar 16, 2016
    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