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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
M••••••• M••••• L••
Latest filing Apr 1, 2026
First filing on the tape Mar 11, 2025 · 4 filings
SEC status approved since Mar 10, 2025
RAUM
$164M
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
100%
$164M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$81.9M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$164M as of Apr 1, 2026
Mar 11, 2025$135M then
HNW client RAUM$113M as of Apr 1, 2026
Mar 11, 2025$79.0M then
State-registered IARs (5.B.3)2 as of Apr 1, 2026
Mar 11, 20252 then
Employees (5.A)3 as of Apr 1, 2026
Mar 11, 20253 then
Private funds: no history
RAUM +21% over the last fiscal yearIARs 2 to 2offices 1 to 2
Practice profile
derived from the filing of Apr 1, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $81.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 81derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $285,243derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 90%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
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.6%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $161MreportedItem 5.I
- Custody
- $75.3M, 409 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$113M69%
- Individuals$51.2M31%
- Individual clients
- 84reported
- HNW clients
- 78reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 574reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $161M sponsored, $0 managedreported
- Custody of client assets
- $75.3M for 409 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• P••• M••••••• | Eau-Claire, Wi | Jan 9, 2008 | 38 y | 1 |
| D••••• P••• M••••••• | Madison, Wi | Feb 5, 2025 | 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
none on the tape
Joined, latest
- K•••• P••• M••••••• from R••••• W• B•••• • C•• I•••••••••Jan 9, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••••• K••••• P••• · Managing Member And Ccocontrolsince 09/2007 · 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 |
|---|---|---|---|---|---|
| Eauclaire, Wi | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Other offices · 1 to 2Mar 16, 2026 to Apr 1, 2026
- Accounts · 536 to 574May 19, 2025 to Mar 16, 2026
- HNW clients · 58 to 78May 19, 2025 to Mar 16, 2026
- Individual clients · 94 to 84May 19, 2025 to Mar 16, 2026
- Assets in custody · $32.9M to $75.3MMay 19, 2025 to Mar 16, 2026
- Discretionary RAUM · $126M to $147MMay 19, 2025 to Mar 16, 2026
- HNW RAUM · $79.0M to $113MMay 19, 2025 to Mar 16, 2026
- Individual RAUM · $55.8M to $51.2MMay 19, 2025 to Mar 16, 2026
- Non-discretionary RAUM · $9.1M to $17.2MMay 19, 2025 to Mar 16, 2026
- RAUM · $135M to $164MMay 19, 2025 to Mar 16, 2026
- Wrap assets (manager) · $133M to $0May 19, 2025 to Mar 16, 2026
- Wrap assets (sponsor) · $133M to $161MMay 19, 2025 to Mar 16, 2026
- Financial planning clients · 0 to 0Mar 11, 2025 to May 19, 2025
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.
How to reach
public business contact points only, each with its source
- Website
- onyourmoney.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (715) 835-2732reportedpublic record, Form ADV, Apr 1, 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
- $81.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026