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
W•••••••• W••••• A•••••••• L••
Latest filing Aug 17, 2026
First filing on the tape Jan 25, 2012 · 20 filings
SEC status approved since Jun 18, 2025
RAUM
$158M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
98%
$154M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$52.5M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$158M as of Aug 17, 2026
Jan 25, 2012$123M then
HNW client RAUM$56.3M as of Aug 17, 2026
Jun 6, 2025$40.4M then
State-registered IARs (5.B.3)3 as of Aug 17, 2026
Mar 7, 20135 then
Employees (5.A)3 as of Aug 17, 2026
Mar 7, 20135 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 17, 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $52.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 95derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $543,432derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 1.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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 individuals, otherreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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
- Individuals$98.0M62%
- High-net-worth individuals$56.3M36%
- Charitable organizations$2.6M1.7%
- Individual clients
- 262reported
- HNW clients
- 22reported
- Pension plan clients
- n/areported
- Charitable clients
- 3reported
- Accounts
- 290reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••• A•••• S•••••• | Sun Prairie, Wi | Feb 26, 2016 | 25 y | 1 |
| P•••••• C•••••• F••••••Certified Financial Planner | Sun Prairie, Wi | Oct 21, 2016 | 18 y | 1 |
| S•••• M•••••• B•••••• | Sun Prairie, Wi | Dec 22, 2017 | 14 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
- A•••• J••••• M••••• to H•••••• I••••••••• I•••Apr 2, 2015 · Other
- S•••• L••• O•••• to H•••••• I••••••••• I•••Jun 4, 2013 · Other
- D•••• S•••• L••• to C•••••• W••••• A•••••••• L•••Nov 30, 2010 · Other
Joined, latest
- A•••• J••••• M••••• from T••••••••• F•••••••• A•••••••• L••Oct 16, 2013 · Other
- D•••• S•••• L••• from H•••••• I••••••••• I•••Dec 10, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• C••••• A•••• · Owner/Chief Compliance Officercontrolsince 07/2015 · owns 75% or more
Related persons
Schedule D 7.A
- T•••• B•••••• • A•••••••••real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Sun Prairie, Wi · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Madison, WI
What changed
consecutive filings, newest first
- Accounts · 581 to 290Dec 10, 2025 to Mar 20, 2026
- Individual clients · 226 to 262Dec 10, 2025 to Mar 20, 2026
- Discretionary RAUM · $112M to $155MDec 10, 2025 to Mar 20, 2026
- HNW RAUM · $40.4M to $56.3MDec 10, 2025 to Mar 20, 2026
- Individual RAUM · $71.0M to $98.0MDec 10, 2025 to Mar 20, 2026
- Non-discretionary RAUM · $2.5M to $2.9MDec 10, 2025 to Mar 20, 2026
- RAUM · $114M to $158MDec 10, 2025 to Mar 20, 2026
- Financial planning clients · 1-10 to 1-10Jun 6, 2025 to Jul 1, 2025
- Accounts · 176 to 581Mar 18, 2016 to Jun 6, 2025
- Advisory employees · 4 to 3Mar 18, 2016 to Jun 6, 2025
- Advisory activities · 2 to 3Mar 18, 2016 to Jun 6, 2025
- Charity clients · unset to 3.0Mar 18, 2016 to Jun 6, 2025
- HNW clients · unset to 22.0Mar 18, 2016 to Jun 6, 2025
- Individual clients · unset to 226.0Mar 18, 2016 to Jun 6, 2025
- Employees · 4 to 3Mar 18, 2016 to Jun 6, 2025
- Insurance-licensed employees · 0 to 1Mar 18, 2016 to Jun 6, 2025
- Other offices · unset to 1.0Mar 18, 2016 to Jun 6, 2025
- Discretionary RAUM · $53.3M to $112MMar 18, 2016 to Jun 6, 2025
- HNW RAUM · unset to 40443276.0Mar 18, 2016 to Jun 6, 2025
- Individual RAUM · unset to 71034180.0Mar 18, 2016 to Jun 6, 2025
- Non-discretionary RAUM · $103,135 to $2.5MMar 18, 2016 to Jun 6, 2025
- RAUM · $53.4M to $114MMar 18, 2016 to Jun 6, 2025
- Accounts · 405 to 176Oct 6, 2015 to Feb 18, 2016
- Discretionary RAUM · $127M to $53.3MOct 6, 2015 to Feb 18, 2016
- Non-discretionary RAUM · $114,210 to $103,135Oct 6, 2015 to Feb 18, 2016
- RAUM · $127M to $53.4MOct 6, 2015 to Feb 18, 2016
- Advisory employees · 3 to 4Jul 31, 2015 to Oct 6, 2015
- Employees · 3 to 4Jul 31, 2015 to Oct 6, 2015
- State-registered IARs · 2 to 3Jul 31, 2015 to Oct 6, 2015
- Advisory employees · 6 to 3Mar 5, 2015 to Apr 6, 2015
- BD registered reps · 5 to 2Mar 5, 2015 to Apr 6, 2015
- Employees · 6 to 3Mar 5, 2015 to Apr 6, 2015
- State-registered IARs · 5 to 2Mar 5, 2015 to Apr 6, 2015
- Accounts · 1,255 to 405Feb 20, 2014 to Mar 5, 2015
- Advisory employees · 7 to 6Feb 20, 2014 to Mar 5, 2015
- BD registered reps · 6 to 5Feb 20, 2014 to Mar 5, 2015
- Employees · 7 to 6Feb 20, 2014 to Mar 5, 2015
- Insurance-licensed employees · 2 to 0Feb 20, 2014 to Mar 5, 2015
- State-registered IARs · 6 to 5Feb 20, 2014 to Mar 5, 2015
- Discretionary RAUM · $123M to $127MFeb 20, 2014 to Mar 5, 2015
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
- Business phone
- 800-727-3039reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 608-825-6468reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 608-837-9099reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/wisconsin-wealth-advisors-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 608-837-9099reportedpublic record, Form ADV, Aug 17, 2026
- Contact form
- wiwealthadvisors.com/contact-usreportedpublished by the firm, firm site, Sep 16, 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
- $52.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026