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
N•••••• W••••• M•••••••••
Legal name N••••••• L••
Latest filing Feb 10, 2025
First filing on the tape Feb 15, 2019 · 15 filings
SEC status approved since Mar 15, 2019
RAUM
$188M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$188M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$188M as of Feb 10, 2025
Feb 26, 2020$133M then
HNW client RAUM$143M as of Feb 10, 2025
Feb 26, 2020$95.1M then
State-registered IARs (5.B.3)2 as of Feb 10, 2025
Feb 26, 20203 then
Employees (5.A)2 as of Feb 10, 2025
Feb 26, 20203 then
Private funds: no history
RAUM +11% over the last fiscal year+0.9% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 10, 2025; every figure names its basis
- RAUM per advisor
- $93.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 110derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $311,943derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.3%derived
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$143M76%
- Individuals$44.8M24%
- Individual clients
- 177reported
- HNW clients
- 42reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 602reported
- Financial planning clients
- 51-100reported
- 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
- B•••••• G••• N•••• to B•••••••• F•••••••• A•••••••May 20, 2025 · RIA to RIA
- B•••• J••• V••••• to B•••••••• F•••••••• A•••••••May 20, 2025 · RIA to RIA
- C••••••••• L•• W••••• to A••••••• S••••••• N••••••Apr 22, 2022 · RIA to RIA
Joined, latest
- C••••••••• L•• W••••• from F•••• A••••• A••••••• S•••••••• I•••Jan 17, 2018 · Other
- B•••• J••• V••••• from M••• S••••• I••••••••• M••••••••• L••Mar 13, 2012 · Other
- B•••••• G••• N•••• from B••• O•• S••••••••• C•••••••••May 14, 2008 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for B•••••••• F•••••••• A•••••••May 20, 2025 · Wausau, Wi
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N••••• B••••••• G••• · Chief Compliance Officer / Managing Membercontrolsince 04/2008 · owns 75% or more
- N••••• T•••• W•••••• · Membersince 01/2018 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Sheboygan Falls, Wi | 0 | 0 | 0 | ||
| Wausau, Wi | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 568 to 602Feb 12, 2024 to Feb 10, 2025
- HNW clients · 40 to 42Feb 12, 2024 to Feb 10, 2025
- Individual clients · 174 to 177Feb 12, 2024 to Feb 10, 2025
- Discretionary RAUM · $169M to $188MFeb 12, 2024 to Feb 10, 2025
- HNW RAUM · $126M to $143MFeb 12, 2024 to Feb 10, 2025
- Individual RAUM · $42.9M to $44.8MFeb 12, 2024 to Feb 10, 2025
- RAUM · $169M to $188MFeb 12, 2024 to Feb 10, 2025
- Accounts · 508 to 568Feb 3, 2023 to Feb 10, 2024
- HNW clients · 30 to 40Feb 3, 2023 to Feb 10, 2024
- Individual clients · 157 to 174Feb 3, 2023 to Feb 10, 2024
- Employees · 3 to 2Feb 3, 2023 to Feb 10, 2024
- Discretionary RAUM · $141M to $169MFeb 3, 2023 to Feb 10, 2024
- HNW RAUM · $100M to $126MFeb 3, 2023 to Feb 10, 2024
- Individual RAUM · $40.7M to $42.9MFeb 3, 2023 to Feb 10, 2024
- RAUM · $141M to $169MFeb 3, 2023 to Feb 10, 2024
- Accounts · 750 to 508Jul 12, 2022 to Feb 2, 2023
- HNW clients · 45 to 30Jul 12, 2022 to Feb 2, 2023
- Individual clients · 262 to 157Jul 12, 2022 to Feb 2, 2023
- Discretionary RAUM · $183M to $141MJul 12, 2022 to Feb 2, 2023
- HNW RAUM · $129M to $100MJul 12, 2022 to Feb 2, 2023
- Individual RAUM · $54.4M to $40.7MJul 12, 2022 to Feb 2, 2023
- RAUM · $183M to $141MJul 12, 2022 to Feb 2, 2023
- Advisory employees · 3 to 2Mar 12, 2022 to Jul 12, 2022
- State-registered IARs · 3 to 2Mar 12, 2022 to Jul 12, 2022
- Accounts · 687 to 750Nov 3, 2021 to Mar 11, 2022
- HNW clients · 42 to 45Nov 3, 2021 to Mar 11, 2022
- Individual clients · 243 to 262Nov 3, 2021 to Mar 11, 2022
- Discretionary RAUM · $161M to $183MNov 3, 2021 to Mar 11, 2022
- HNW RAUM · $108M to $129MNov 3, 2021 to Mar 11, 2022
- Individual RAUM · $52.7M to $54.4MNov 3, 2021 to Mar 11, 2022
- RAUM · $161M to $183MNov 3, 2021 to Mar 11, 2022
- Other offices · 2 to 1Feb 10, 2021 to May 27, 2021
- Accounts · 718 to 687Jun 24, 2020 to Feb 9, 2021
- HNW clients · 38 to 42Jun 24, 2020 to Feb 9, 2021
- Individual clients · 237 to 243Jun 24, 2020 to Feb 9, 2021
- Discretionary RAUM · $133M to $161MJun 24, 2020 to Feb 9, 2021
- HNW RAUM · $95.1M to $108MJun 24, 2020 to Feb 9, 2021
- Individual RAUM · $37.6M to $52.7MJun 24, 2020 to Feb 9, 2021
- RAUM · $133M to $161MJun 24, 2020 to Feb 9, 2021
- Accounts · 622 to 718Feb 15, 2019 to Feb 26, 2020
Signals
6 dated events
- N•••••• W••••• M••••••••• no longer on the SEC adviser roster (last listed 2025-05-02, RAUM $187.8M)Jun 2, 2025 · Left the SEC roster · derived
- B•••• J••• V••••• left N•••••• W••••• M••••••••• for B•••••••• F•••••••• A••••••• (registered 2025-04-16)May 20, 2025 · Advisor changed firm · fact
- B•••••• G••• N•••• left N•••••• W••••• M••••••••• for B•••••••• F•••••••• A••••••• (registered 2025-04-15)May 20, 2025 · Advisor changed firm · fact
- 2 advisors left N•••••• W••••• M••••••••• (Wausau, WI) for B•••••••• F•••••••• A••••••• on the same dayMay 20, 2025 · Team lift-out · derived
- C••••••••• L•• W••••• left N•••••• W••••• M••••••••• for A••••••• S••••••• N•••••• (registered 2022-04-21)Apr 22, 2022 · Advisor changed firm · fact
- N•••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Feb 15, 2019 · ria f•••• adv filing · fact
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