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
V••••••• L••
Latest filing Aug 11, 2026
First filing on the tape Dec 19, 2011 · 34 filings
SEC status approved since Oct 27, 2014
RAUM
$337M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$335M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$84.2M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$337M as of Aug 11, 2026
Mar 27, 2015$112M then
HNW client RAUM$332M as of Aug 11, 2026
Feb 23, 2018$139M then
State-registered IARs (5.B.3)3 as of Aug 11, 2026
Mar 27, 20153 then
Employees (5.A)4 as of Aug 11, 2026
Mar 27, 20153 then
Private funds: no history
RAUM +13% over the last fiscal year+18% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Aug 11, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $84.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 18derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.4MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.5%derived
- Compensation
- percentage of assetsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$332M99%
- Individuals$3.2M0.9%
- Charitable organizations$1.6M0.5%
- Corporations and businesses$205,5000.1%
- Individual clients
- 11reported
- HNW clients
- 61reported
- Pension plan clients
- n/areported
- Charitable clients
- 3reported
- Accounts
- 312reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• D•••••• P••••••Certified Financial Planner | Hobart, Wi | Jan 30, 2007 | 29 y | 0 |
| J•••• H••••• B•••••Chartered Financial Analyst | Hobart, Wi | Feb 1, 2016 | 15 y | 0 |
| D•••• R•••• C••••••• | Hobart, Wi | Jul 30, 2020 | 14 y | 0 |
| J••• M••••• S••••••••• | Hobart, Wi | Jul 21, 2026 | 11 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 headcount0 left over 36 months
Left, latest
- N••••• C• B•••••••• to B•••••••• C•••••• M••••••••• L••Apr 13, 2016 · Other
- M••••••••• O•••••••• G••••••••• to A••••••• W••••• A••••••• L••Oct 29, 2014 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••••• J••••• D•••••• · Principal/Chief Compliance Officercontrolsince 01/2007 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Hobart, Wi · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Hobart, WI3 employees
What changed
consecutive filings, newest first
- Accounts · 292 to 312Feb 6, 2025 to Mar 20, 2026
- HNW clients · 59 to 61Feb 6, 2025 to Mar 20, 2026
- Individual clients · 8 to 11Feb 6, 2025 to Mar 20, 2026
- Discretionary RAUM · $299M to $337MFeb 6, 2025 to Mar 20, 2026
- HNW RAUM · $295M to $332MFeb 6, 2025 to Mar 20, 2026
- Individual RAUM · $2.5M to $3.2MFeb 6, 2025 to Mar 20, 2026
- RAUM · $299M to $337MFeb 6, 2025 to Mar 20, 2026
- Accounts · 288 to 292Jan 18, 2024 to Feb 6, 2025
- Charity clients · 2 to 3Jan 18, 2024 to Feb 6, 2025
- HNW clients · 56 to 59Jan 18, 2024 to Feb 6, 2025
- Financial planning clients · 26-50 to 26-50Jan 18, 2024 to Feb 6, 2025
- Discretionary RAUM · $269M to $299MJan 18, 2024 to Feb 6, 2025
- HNW RAUM · $265M to $295MJan 18, 2024 to Feb 6, 2025
- Individual RAUM · $2.0M to $2.5MJan 18, 2024 to Feb 6, 2025
- RAUM · $269M to $299MJan 18, 2024 to Feb 6, 2025
- Accounts · 257 to 288Apr 6, 2023 to Jan 18, 2024
- HNW clients · 54 to 56Apr 6, 2023 to Jan 18, 2024
- Individual clients · 7 to 8Apr 6, 2023 to Jan 18, 2024
- Discretionary RAUM · $206M to $269MApr 6, 2023 to Jan 18, 2024
- HNW RAUM · $203M to $265MApr 6, 2023 to Jan 18, 2024
- Individual RAUM · $1.7M to $2.0MApr 6, 2023 to Jan 18, 2024
- RAUM · $206M to $269MApr 6, 2023 to Jan 18, 2024
- Accounts · 234 to 257Mar 1, 2022 to Mar 20, 2023
- HNW clients · 55 to 54Mar 1, 2022 to Mar 20, 2023
- Discretionary RAUM · $254M to $206MMar 1, 2022 to Mar 20, 2023
- HNW RAUM · $250M to $203MMar 1, 2022 to Mar 20, 2023
- Individual RAUM · $2.2M to $1.7MMar 1, 2022 to Mar 20, 2023
- RAUM · $254M to $206MMar 1, 2022 to Mar 20, 2023
- Accounts · 226 to 234May 27, 2021 to Mar 1, 2022
- Corporate clients · 2 to 1May 27, 2021 to Mar 1, 2022
- HNW clients · 53 to 55May 27, 2021 to Mar 1, 2022
- Individual clients · 6 to 7May 27, 2021 to Mar 1, 2022
- Discretionary RAUM · $210M to $254MMay 27, 2021 to Mar 1, 2022
- HNW RAUM · $205M to $250MMay 27, 2021 to Mar 1, 2022
- Individual RAUM · $1.1M to $2.2MMay 27, 2021 to Mar 1, 2022
- RAUM · $210M to $254MMay 27, 2021 to Mar 1, 2022
- HQ city · SISTER BAY to HOBARTMar 19, 2021 to May 27, 2021
- Accounts · 212 to 226Nov 2, 2020 to Mar 19, 2021
- Advisory employees · 2 to 3Nov 2, 2020 to Mar 19, 2021
- Corporate clients · 1 to 2Nov 2, 2020 to Mar 19, 2021
Signals
1 dated events
- V••••••• L•• filed its initial SEC registration (Form ADV)Oct 15, 2014 · First SEC registration · fact
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
- 920-430-3775reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- V••••••.NETreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 920-430-3775reportedpublic record, Form ADV, Aug 11, 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
- $84.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026