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
C••••••••• C•••••• S••••••••• I•••
Latest filing Jun 25, 2026
First filing on the tape Jul 31, 2017 · 36 filings
SEC status approved since Aug 31, 2017
RAUM
$137M
reported, Item 5.F
Discretionary
62%
of RAUM
Private clients
100%
$137M individuals and HNW
Advisors
16
registered through the firm on IAPD
RAUM per advisor
$8.6M
derived; firm RAUM over IAPD count
Employees
31
15 advisory (5.B.1)
Offices
10
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$137M as of Jun 25, 2026
Jun 21, 2018$131M then
HNW client RAUM$87.8M as of Jun 25, 2026
Jun 21, 2018$61.8M then
State-registered IARs (5.B.3)15 as of Jun 25, 2026
Jun 21, 201829 then
Employees (5.A)31 as of Jun 25, 2026
Jun 21, 201860 then
Private funds: no history
RAUM -6.1% over the last fiscal year-14% a year over threeIARs 20 to 15offices 12 to 10
Practice profile
derived from the filing of Jun 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $8.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 12derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $735,687derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 62%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.9derivedItem 5.A over advisors
- Advisors per office
- 1.5derived11 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $487M, 943 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
- is a broker-dealer (6.A.1)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- the adviser acts as qualified custodian (9.D.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$87.8M64%
- Individuals$49.1M36%
- Individual clients
- 147reported
- HNW clients
- 39reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 186reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $487M for 943 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=31.0derived
Advisors registered through the firm
16 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G•••••• B•••• S••••••••Chartered Financial Consultant | Kenosha, Wi | Sep 17, 1990 | 47 y | 0 |
| D••• R•••••• M•••• | Monona, Wi | Feb 6, 1991 | 42 y | 0 |
| C•••••• R•• S••••••Chartered Financial Consultant | Strongsville, Oh | Dec 7, 1999 | 35 y | 0 |
| C•••••• A•• B•••••• | Brookfield, Wi | Jan 17, 2007 | 22 y | 0 |
| R•••• D••••• B•••••• | Brookfield, Wi | Jan 17, 2007 | 36 y | 0 |
| R••••• R•• S••••• | Cincinnati, Oh | Jan 28, 2010 | 53 y | 0 |
| E••••• M•••••• B•••••• | Kenosha, Wi | Jan 18, 2011 | 17 y | 0 |
| D•••• L•• C••••••••• | La Crosse, Wi | Oct 12, 2011 | 25 y | 2 |
| M••••• B•••• D••••••• | Cincinnati, Oh | Dec 15, 2014 | 25 y | 2 |
| W•••••• P•••••• W••••• | Kenosha, Wi | Oct 30, 2020 | 17 y | 0 |
| M••• R••••• S•••••• | Kenosha, Wi | Mar 1, 2021 | 10 y | 0 |
| B••••• E••••• P••••• | Kenosha, Wi | Mar 1, 2021 | 33 y | 1 |
| D••• J•••• W••••••• | Beloit, Wi | Jul 20, 2022 | 11 y | 0 |
| S••• D••••••• W••••••• | Fort Atkinson, Wi | Aug 12, 2022 | 18 y | 0 |
| K•••• E••••• K•••••• | Waunakee, Wi | Feb 9, 2024 | 44 y | 0 |
| D••••• S••••• D•••••• | Fort Atkinson, Wi | Jan 6, 2026 | 31 y | 1 |
Advisor movement
3 left, 1 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 19% of current headcount4 left over 36 months
Left, latest
- M•••••• M•••• M••••••••• to L•• F•••••••• L••Jan 15, 2026 · RIA to affiliated broker-dealer or bank
- P•••• T••••• M••••• to L•• F•••••••• L••Jan 15, 2026 · RIA to affiliated broker-dealer or bank
- E••••• D••••• M••••• to M••••• F•••••••• S•••••••• I•••Dec 22, 2025 · RIA to a newly registered adviser
- A••••• T•••••• K••• to W•••••• C••••• F•••••••• A••••••• L••Jun 17, 2025 · RIA to RIA
- J•••• M•••••• N••••• to L•• F•••••••• L••Jul 5, 2023 · RIA to affiliated broker-dealer or bank
- E••••• T••••• M•••••••• to L•• F•••••••• L••Jul 5, 2023 · RIA to affiliated broker-dealer or bank
- E••• P••••• A•••• to A•••• F••••••••Oct 30, 2020 · RIA to a state-registered adviser
- T•••• R•• R••••••• to C•••••••• F••••••••• I•••Dec 31, 2019 · RIA to affiliated broker-dealer or bank
- K••• M••••••• to T•••• L•••• S••••••••• L••Nov 30, 2017 · Other
- C•••••• A••••• M••••••• to T•••• L•••• S••••••••• L••Nov 30, 2017 · Other
- K•••• A•••• B•••• to T•••• L•••• S••••••••• L••Nov 30, 2017 · Other
- C••••••••• R•••• H•••••••• to T•••• L•••• S••••••••• L••Nov 30, 2017 · Other
- D•••••• R•••••• H•••••• to G•••••••• W••••• M••••••••• L••Sep 20, 2017 · Other
- C•••• A• R••••••••• to T•••• L•••• S••••••••• L••Aug 24, 2017 · Other
- R••• M•••••• C•••••• to A••••••••• F•••••••• S•••••••• L••Aug 15, 2016 · Other
Joined, latest
- D••••• S••••• D•••••• from B• R•••• W••••• M•••••••••Jan 6, 2026 · Other
- B••••• E••••• P••••• from H•••• • O••••••••• S•••Mar 1, 2021 · Other
- E••••• T••••• M•••••••• from M••••• S••••••Feb 24, 2019 · Wirehouse to independent RIA
- E••• P••••• A•••• from A••••••••• F•••••••• S•••••••• L••Jan 16, 2018 · Other
- M••••• B•••• D••••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Dec 15, 2014 · Other
- K•••• A•••• B•••• from S••••••• I••••••••• A•••••••• I•••Jan 14, 2013 · Other
- P•••••• A••• B•••• from P•••••••• S••••••••• I•••May 2, 2012 · Other
- C•••• A• R••••••••• from M•• I•••••••• S•••••••• L••Nov 1, 2011 · Other
- D•••• L•• C••••••••• from W•••• F•••• A•••••••Oct 12, 2011 · Other
- J••••• M•••• J•••••• from S••••• A••• I••••••••• A•••••• S•••••••• I•••Aug 30, 2011 · Other
- K••• M••••••• from N•• Y••• L••• I••••••••• M••••••••• L••Feb 24, 2010 · Other
- D••••• G•••• S••••••• from B•••• T•••• I••••••••• A•••••••Aug 18, 2009 · Other
- J••••• P• A••••••• from W••••• S••••• S••••••••• I•••Aug 12, 2009 · Other
- C••••••••• R•••• H•••••••• from W••••• S••••• S••••••••• I•••Aug 12, 2009 · Other
- P••• A••• S•••• from V•• A••••••• S•••••••Feb 4, 2008 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for L•• F•••••••• L••Jan 15, 2026 · Melbourne, Fl
- 2 left for L•• F•••••••• L••Jul 5, 2023 · Cincinnati, Oh
- 4 left for T•••• L•••• S••••••••• L••Nov 30, 2017 · Wauwatosa, Wi
- 2 left for A••••••••• F•••••••• S•••••••• L••Aug 15, 2016 · Tomah, Wi
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• M••• J• · Chief Executive Officer, Presidentcontrolsince 03/2002 · owns less than 5%
- W•••••••• S••• D••••••• · Chief Compliance Officercontrolsince 01/2022 · owns less than 5%
- W•••••••• T•••• N••••• · Vice Presidentcontrolsince 04/2014 · owns less than 5%
- B•••••••• M••• J• · Owner Of Holding Companycontrolsince 06/2007 · owns 75% or more of C••••••••• C•••••• H•••••••• I•••
Entity owners
- C••••••••• C•••••• H•••••••• I••• · Holding Companydirect · 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 |
|---|---|---|---|---|---|
| Kenosha, Wi | 5 | 0 | 0 | ||
| Fort Atkinson, Wi · principal | 3 | 1 | 0 | ||
| Cincinnati, Oh | 2 | 0 | 0 | ||
| Brookfield, Wi | 2 | 0 | 0 | ||
| Helotes, Tx | 0 | 0 | 0 | ||
| Melbourne, Fl | 0 | 0 | 2 | 1 | |
| San Juan Capistrano, Ca | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Kenosha, WI5 employees
- , 2 employees
- Melbourne, FL2 employees
- Brookfield, WI2 employees
- Laguna Niguel, CA2 employees
- , 1 employees
- Memphis, TN1 employees
- , 1 employees
- Cincinnati, OH1 employees
- Strongsville, OH1 employees
- , 1 employees
- Verona, WI1 employees
- New Berlin, WI1 employees
- Monona, WI1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 248 to 186Jan 30, 2026 to Jun 25, 2026
- Advisory employees · 20 to 15Jan 30, 2026 to Jun 25, 2026
- BD registered reps · 34 to 31Jan 30, 2026 to Jun 25, 2026
- HNW clients · 43 to 39Jan 30, 2026 to Jun 25, 2026
- Individual clients · 205 to 147Jan 30, 2026 to Jun 25, 2026
- Assets in custody · $507M to $487MJan 30, 2026 to Jun 25, 2026
- Employees · 38 to 31Jan 30, 2026 to Jun 25, 2026
- State-registered IARs · 20 to 15Jan 30, 2026 to Jun 25, 2026
- Discretionary RAUM · $78.2M to $84.2MJan 30, 2026 to Jun 25, 2026
- HNW RAUM · $94.4M to $87.8MJan 30, 2026 to Jun 25, 2026
- Individual RAUM · $65.5M to $49.1MJan 30, 2026 to Jun 25, 2026
- Non-discretionary RAUM · $81.7M to $52.6MJan 30, 2026 to Jun 25, 2026
- RAUM · $160M to $137MJan 30, 2026 to Jun 25, 2026
- Other offices · 11 to 10Jun 26, 2025 to Jan 30, 2026
- Accounts · 236 to 248Jan 27, 2025 to Jun 26, 2025
- BD registered reps · 41 to 34Jan 27, 2025 to Jun 26, 2025
- HNW clients · 39 to 43Jan 27, 2025 to Jun 26, 2025
- Individual clients · 197 to 205Jan 27, 2025 to Jun 26, 2025
- Commission compensation · true to falseJan 27, 2025 to Jun 26, 2025
- Assets in custody · $492M to $507MJan 27, 2025 to Jun 26, 2025
- Employees · 45 to 38Jan 27, 2025 to Jun 26, 2025
- Financial planning clients · 0 to 0Jan 27, 2025 to Jun 26, 2025
- Other offices · 12 to 11Jan 27, 2025 to Jun 26, 2025
- Discretionary RAUM · $71.9M to $78.2MJan 27, 2025 to Jun 26, 2025
- HNW RAUM · $83.4M to $94.4MJan 27, 2025 to Jun 26, 2025
- Individual RAUM · $62.2M to $65.5MJan 27, 2025 to Jun 26, 2025
- Non-discretionary RAUM · $73.8M to $81.7MJan 27, 2025 to Jun 26, 2025
- RAUM · $146M to $160MJan 27, 2025 to Jun 26, 2025
- Other offices · 15 to 12Jun 28, 2024 to Jan 27, 2025
- Accounts · 534 to 236Jan 4, 2024 to Jun 28, 2024
- Advisory employees · 22 to 20Jan 4, 2024 to Jun 28, 2024
- BD registered reps · 47 to 41Jan 4, 2024 to Jun 28, 2024
- Corporate clients · unset to 0.0Jan 4, 2024 to Jun 28, 2024
- HNW clients · 64 to 39Jan 4, 2024 to Jun 28, 2024
- Individual clients · 468 to 197Jan 4, 2024 to Jun 28, 2024
- Assets in custody · $568M to $492MJan 4, 2024 to Jun 28, 2024
- Employees · 52 to 45Jan 4, 2024 to Jun 28, 2024
- State-registered IARs · 22 to 20Jan 4, 2024 to Jun 28, 2024
- Discretionary RAUM · $180M to $71.9MJan 4, 2024 to Jun 28, 2024
- HNW RAUM · $121M to $83.4MJan 4, 2024 to Jun 28, 2024
Signals
13 dated events
- M•••••• M•••• M••••••••• left C••••••••• C•••••• S••••••••• I••• for L•• F•••••••• L•• (registered 2026-01-29)Jan 15, 2026 · a•••••• firm change · fact
- P•••• T••••• M••••• left C••••••••• C•••••• S••••••••• I••• for L•• F•••••••• L•• (registered 2026-01-21)Jan 15, 2026 · a•••••• firm change · fact
- 2 advisors left C••••••••• C•••••• S••••••••• I••• (Melbourne, FL) for L•• F•••••••• L•• on the same dayJan 15, 2026 · Team lift-out · derived
- E••••• D••••• M••••• left C••••••••• C•••••• S••••••••• I••• for M••••• F•••••••• S•••••••• I••• (registered 2025-12-22)Dec 22, 2025 · a•••••• firm change · fact
- A••••• T•••••• K••• left C••••••••• C•••••• S••••••••• I••• for W•••••• C••••• F•••••••• A••••••• L•• (registered 2025-07-08)Jun 17, 2025 · a•••••• firm change · fact
- Donna Jean Peters (Executive Vice President) no longer on Schedule A of C••••••••• C•••••• S••••••••• I••• (listed 2023-07-17, absent 2023-08-08)Aug 8, 2023 · Control person left · inference
- E••••• T••••• M•••••••• left C••••••••• C•••••• S••••••••• I••• for L•• F•••••••• L•• (registered 2023-07-05)Jul 5, 2023 · a•••••• firm change · fact
- J•••• M•••••• N••••• left C••••••••• C•••••• S••••••••• I••• for L•• F•••••••• L•• (registered 2023-07-03)Jul 5, 2023 · a•••••• firm change · fact
- 2 advisors left C••••••••• C•••••• S••••••••• I••• (Cincinnati, OH) for L•• F•••••••• L•• on the same dayJul 5, 2023 · Team lift-out · derived
- S••• D••••••• W••••••• (Chief Compliance Officer) appeared on Schedule A of C••••••••• C•••••• S••••••••• I•••Jun 30, 2022 · Control person joined · fact
- C••••••••• C•••••• S••••••••• I••• reported 23 offices beyond its principal office, up from 16 (2019-06-14 to 2020-01-06)Jan 6, 2020 · Office count change · derived
- C••••••••• C•••••• S••••••••• I••• reported 16 offices beyond its principal office, down from 26 (2019-06-13 to 2019-06-14)Jun 14, 2019 · Office count change · derived
- C••••••••• C•••••• S••••••••• I••• filed its initial SEC registration (Form ADV)Jul 31, 2017 · First SEC registration · fact
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 email
- mari@ccsmadison.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- danielle@ccsmadison.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- jenifer@ccsmadison.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- tracy@ccsmadison.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 608-716-3495reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-783-6666reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 608-221-4545reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/THES••••••••GROUPLLCreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/C•••••••••-CAPITAL-S•••••••••-INC./ABOUreportedpublic record, Form ADV, Sep 18, 2026
- Website
- CCSMADISON.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 608-221-4545reportedpublic record, Form ADV, Jun 25, 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
- $8.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026