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

J• I••••••••• M••••••••• L••

Former SEC-registered adviserBrookfield, WisconsinCRD 146995SEC 801-69085IAPD
Latest filing Mar 9, 2018
First filing on the tape Feb 16, 2012 · 7 filings
RAUM
$613M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
22%
$135M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$613M as of Mar 9, 2018
Feb 16, 2012$511M then
HNW client RAUM: $133M
State-registered IARs (5.B.3)2 as of Mar 9, 2018
Feb 14, 20132 then
Employees (5.A)4 as of Mar 9, 2018
Feb 14, 20134 then
Private funds: no history
RAUM +6.8% over the last fiscal year-0.1% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 9, 2018; every figure names its basis
RAUM per advisor
$307MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.5MderivedHNW RAUM over HNW clients
Average account
$5.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
74%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+6.8%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, 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
  • 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
  • Insurance companies$213M35%
  • Pension and profit-sharing plans$184M30%
  • High-net-worth individuals$133M22%
  • Charitable organizations$56.9M9.3%
  • Corporations and businesses$24.4M4.0%
  • Individuals$1.5M0.3%
Individual clients
n/areported
HNW clients
54reported
Pension plan clients
11reported
Charitable clients
9reported
Accounts
122reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • B•••••• J••••••• L••• · President/Managing Member/Chief Investment Officercontrol
    since 11/2007 · owns 75% or more
  • R•••••• J•••••••• G•• · Vice President/Chief Compliance Officer/Portfolio Managercontrol
    since 05/2008 · owns 5% to 10%
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 · 124 to 122
    Mar 7, 2017 to Mar 9, 2018
  • Charity clients · unset to 9.0
    Mar 7, 2017 to Mar 9, 2018
  • HNW clients · unset to 54.0
    Mar 7, 2017 to Mar 9, 2018
  • Pension plan clients · unset to 11.0
    Mar 7, 2017 to Mar 9, 2018
  • Pooled vehicle clients · unset to 0.0
    Mar 7, 2017 to Mar 9, 2018
  • Other offices · unset to 0.0
    Mar 7, 2017 to Mar 9, 2018
  • Discretionary RAUM · $574M to $613M
    Mar 7, 2017 to Mar 9, 2018
  • HNW RAUM · unset to 133064925.0
    Mar 7, 2017 to Mar 9, 2018
  • Individual RAUM · unset to 1535458.0
    Mar 7, 2017 to Mar 9, 2018
  • Pension RAUM · unset to 184305083.0
    Mar 7, 2017 to Mar 9, 2018
  • Pooled vehicle RAUM · unset to 0.0
    Mar 7, 2017 to Mar 9, 2018
  • RAUM · $574M to $613M
    Mar 7, 2017 to Mar 9, 2018
  • Accounts · 125 to 124
    Mar 7, 2016 to Mar 7, 2017
  • Discretionary RAUM · $594M to $574M
    Mar 7, 2016 to Mar 7, 2017
  • RAUM · $594M to $574M
    Mar 7, 2016 to Mar 7, 2017
  • Accounts · 123 to 125
    Feb 23, 2015 to Mar 7, 2016
  • Discretionary RAUM · $615M to $594M
    Feb 23, 2015 to Mar 7, 2016
  • RAUM · $615M to $594M
    Feb 23, 2015 to Mar 7, 2016
  • Accounts · 118 to 123
    Feb 21, 2014 to Feb 23, 2015
  • Discretionary RAUM · $551M to $615M
    Feb 21, 2014 to Feb 23, 2015
  • RAUM · $551M to $615M
    Feb 21, 2014 to Feb 23, 2015
  • Accounts · 145 to 118
    Feb 14, 2013 to Feb 21, 2014
  • Discretionary RAUM · $568M to $551M
    Feb 14, 2013 to Feb 21, 2014
  • RAUM · $568M to $551M
    Feb 14, 2013 to Feb 21, 2014
  • Accounts · 141 to 145
    Feb 16, 2012 to Feb 14, 2013
  • Advisory employees · unset to 2.0
    Feb 16, 2012 to Feb 14, 2013
  • Employees · unset to 4.0
    Feb 16, 2012 to Feb 14, 2013
  • State-registered IARs · unset to 2.0
    Feb 16, 2012 to Feb 14, 2013
  • Discretionary RAUM · $511M to $568M
    Feb 16, 2012 to Feb 14, 2013
  • RAUM · $511M to $568M
    Feb 16, 2012 to Feb 14, 2013
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