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
I•••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Nov 30, 2011 · 24 filings
SEC status approved since Oct 3, 2008
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$0 as of Mar 26, 2026
Feb 3, 2014$1.7M then
HNW client RAUM$0 as of Mar 26, 2026
Mar 23, 2018$0 then
State-registered IARs (5.B.3)2 as of Mar 26, 2026
Mar 30, 20120 then
Employees (5.A)3 as of Mar 26, 2026
Apr 1, 20135 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 2 to 2offices 1 to 2
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
- RAUM per advisor
- $0derivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, 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
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- otherreportedItem 5.E
- Advisory activities
- otherreportedItem 5.G
- Custody
- $47.5M, 5 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)
- 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)
- 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 0reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $47.5M for 5 clientsreported
- Compensation
- n/areported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
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
- P•••••• N•• M••••••• to E•••••••• W••••• M••••••••• I•••Feb 6, 2013 · Other
- R••••• L•••• R•••• to E•••••••• W••••• M••••••••• I•••Feb 6, 2013 · Other
Joined, latest
- P•••••• N•• M••••••• from S••••••• • A••••••••• L••May 2, 2012 · Other
- R••••• L•••• R•••• from S••••••• • A••••••••• L••May 2, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••••• D•••• · Membercontrolsince 06/2008 · owns 50% to 75%
- S•••••••• V•••••• C••••• · Chief Executive Officer, Chief Compliance Officer, Chief Investment Officer, Managing Membercontrolsince 06/2008 · owns 50% to 75%
Related persons
Schedule D 7.A
- S••••••• • A••••••••• L••investment advisernRAUM $108M
Advisers that list I•••••••• L•• as a related person
- 111421 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Appleton, Wi · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Advisory employees · 4 to 3Mar 18, 2025 to Mar 26, 2026
- Assets in custody · $40.7M to $47.5MMar 18, 2025 to Mar 26, 2026
- Employees · 4 to 3Mar 18, 2025 to Mar 26, 2026
- Other offices · 1 to 2Mar 18, 2025 to Mar 26, 2026
- Accounts · unset to 0.0Mar 22, 2024 to Mar 18, 2025
- Assets in custody · $37.0M to $40.7MMar 22, 2024 to Mar 18, 2025
- Financial planning clients · 0 to 0Mar 22, 2024 to Mar 18, 2025
- Discretionary RAUM · unset to 0.0Mar 22, 2024 to Mar 18, 2025
- Non-discretionary RAUM · unset to 0.0Mar 22, 2024 to Mar 18, 2025
- RAUM · unset to 0.0Mar 22, 2024 to Mar 18, 2025
- Assets in custody · $225M to $37.0MAug 7, 2023 to Mar 22, 2024
- Accounts · 104.0 to unsetNov 8, 2022 to Mar 6, 2023
- Advisory employees · 3 to 4Nov 8, 2022 to Mar 6, 2023
- Advisory activities · 2 to 1Nov 8, 2022 to Mar 6, 2023
- Individual clients · 57 to 0Nov 8, 2022 to Mar 6, 2023
- Pension plan clients · 57 to 0Nov 8, 2022 to Mar 6, 2023
- Assets in custody · $263M to $225MNov 8, 2022 to Mar 6, 2023
- Employees · 3 to 4Nov 8, 2022 to Mar 6, 2023
- Discretionary RAUM · 22165985.0 to unsetNov 8, 2022 to Mar 6, 2023
- Individual RAUM · $5.9M to $0Nov 8, 2022 to Mar 6, 2023
- Non-discretionary RAUM · 0.0 to unsetNov 8, 2022 to Mar 6, 2023
- Pension RAUM · $16.3M to $0Nov 8, 2022 to Mar 6, 2023
- RAUM · 22165985.0 to unsetNov 8, 2022 to Mar 6, 2023
- Accounts · 106 to 104Sep 1, 2021 to Mar 23, 2022
- Advisory employees · 4 to 3Sep 1, 2021 to Mar 23, 2022
- Individual clients · 60 to 57Sep 1, 2021 to Mar 23, 2022
- Pension plan clients · 44 to 57Sep 1, 2021 to Mar 23, 2022
- Assets in custody · $238M to $263MSep 1, 2021 to Mar 23, 2022
- Employees · 4 to 3Sep 1, 2021 to Mar 23, 2022
- Insurance-licensed employees · 3 to 2Sep 1, 2021 to Mar 23, 2022
- State-registered IARs · 3 to 2Sep 1, 2021 to Mar 23, 2022
- Discretionary RAUM · $27.2M to $22.2MSep 1, 2021 to Mar 23, 2022
- Individual RAUM · $5.8M to $5.9MSep 1, 2021 to Mar 23, 2022
- Pension RAUM · $21.1M to $16.3MSep 1, 2021 to Mar 23, 2022
- RAUM · $27.2M to $22.2MSep 1, 2021 to Mar 23, 2022
- Accounts · 92 to 106Jun 24, 2020 to Mar 29, 2021
- Individual clients · 54 to 60Jun 24, 2020 to Mar 29, 2021
- Pension plan clients · 37 to 44Jun 24, 2020 to Mar 29, 2021
- Assets in custody · $219M to $238MJun 24, 2020 to Mar 29, 2021
- Discretionary RAUM · $23.1M to $27.2MJun 24, 2020 to Mar 29, 2021
Signals
1 dated events
- Henry Charles Self (Chief Operating Officer, Chief Compliance Officer, Chief Investment Officer) no longer on Schedule A of I•••••••• L•• (listed 2021-03-29, absent 2021-09-01)Sep 1, 2021 · Control person left · inference
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
- Firm profile
- LINKEDIN.COM/COMPANY/I•••••••reportedpublic record, Form ADV, Sep 18, 2026
- Website
- I•••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 920-731-4455reportedpublic record, Form ADV, Mar 26, 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
- No RAUM reportedderiveda 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