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.
SEC-registered adviser
1492 Capital Management, LLC
Latest filing Mar 30, 2026
First filing on the tape Jan 20, 2012 · 28 filings
SEC status approved since Aug 5, 2009
RAUM
$275M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
57%
$158M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$91.5M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$275M as of Mar 30, 2026
Mar 15, 2012$91.4M then
HNW client RAUM$154M as of Mar 30, 2026
Mar 31, 2018$112M then
State-registered IARs (5.B.3)3 as of Mar 30, 2026
Apr 1, 20136 then
Employees (5.A)5 as of Mar 30, 2026
Apr 1, 20139 then
Private funds: no history
RAUM +25% over the last fiscal year+16% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 30, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $91.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 28derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $2.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.5%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$154M56%
- Corporations and businesses$84.2M31%
- Charitable organizations$32.9M12%
- Individuals$3.8M1.4%
- Individual clients
- 11reported
- HNW clients
- 74reported
- Pension plan clients
- n/areported
- Charitable clients
- 9reported
- Accounts
- 98reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $14.7M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.57 fund_share=0.0 institutional_share=0.12 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Timothy Terrill Stracka | Milwaukee, Wi | Nov 13, 2008 | 40 y | 1 |
| Adam Michael FranceChartered Financial Analyst | Milwaukee, Wi | Jan 21, 2010 | 28 y | 0 |
| Joseph Anthony FrohnaChartered Financial Analyst | Milwaukee, Wi | Jan 1, 2025 | 31 y | 2 |
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
- Brian Andrew to Cleary Gull Inc.May 3, 2011 · Other
Joined, latest
- Joseph Anthony Frohna from Cortina Asset Management, LLCJan 1, 2025 · Other
- Timothy Terrill Stracka from Summit Investment Management, Ltd.Nov 13, 2008 · Other
- Brian Andrew from Ziegler Capital Management, LLCNov 13, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Anthony Joseph Frohna · Managing Membercontrolsince 09/2008 · owns 25% to 50%
- Terrill Timothy Stracka · Managing Membercontrolsince 09/2008 · owns 10% to 25%
- Henry Posner · Membercontrolsince 10/2011 · owns 25% to 50% of Hjp 2011, LLC
- Henry Posner · Limited Partnercontrolsince 02/2012 · owns 25% to 50% of Hjp Acquisition, L.P.
- James Posner · Membercontrolsince 10/2011 · owns 25% to 50% of Hjp 2011, LLC
- James Posner · Limited Partnercontrolsince 02/2012 · owns 25% to 50% of Hjp Acquisition, L.P.
- Paul Posner · Limited Partnercontrolsince 02/2012 · owns 25% to 50% of Hjp Acquisition, L.P.
- Paul Posner · Membercontrolsince 10/2011 · owns 25% to 50% of Hjp 2011, LLC
- D Thomas Wright · Membercontrolsince 06/2001 · owns 50% to 75% of Rosetta Capital LLC
- D Thomas Wright · Limited Partnercontrolsince 08/2001 · owns 50% to 75% of Rosetta Capital LP
- A Kathleen Daley · Chief Compliance Officer/Chief Operations Officersince 01/2022 · owns less than 5%
- Michael Adam France · Membersince 03/2011 · owns less than 5%
Entity owners
- Hawthorne Partners · Memberdirect · owns 25% to 50%
- Blair Oak Investments, LP · General Partnerindirect · owns 25% to 50% of Hawthorne Partners II
- Hawthorne Partners II · Managing Memberindirect · owns 75% or more of Hawthorne Wealth Management Holdings, LLC
- Hjp Acquisition L.P. · General Partnerindirect · owns 75% or more of Hawthorne Partners
- Hjp Acquisition, LP · General Partnerindirect · owns 75% or more of Hawthorne Partners II
- Rosetta Capital Partners LP · General Partnerindirect · owns 25% to 50% of Hawthorne Partners
- Hjp 2011, LLC · General Partnerindirect · owns F of Hjp Acquisition, L.P.
- Rosetta Capital LLC · General Partnerindirect · owns F of Rosetta Capital LP
Related persons
Schedule D 7.A
No related person reported.
Advisers that list 1492 Capital Management, LLC as a related person
- 174303 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Milwaukee, Wi · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 101 to 98Sep 15, 2025 to Mar 30, 2026
- Charity clients · 8 to 9Sep 15, 2025 to Mar 30, 2026
- HNW clients · 75 to 74Sep 15, 2025 to Mar 30, 2026
- Individual clients · 14 to 11Sep 15, 2025 to Mar 30, 2026
- Discretionary RAUM · $220M to $275MSep 15, 2025 to Mar 30, 2026
- HNW RAUM · $127M to $154MSep 15, 2025 to Mar 30, 2026
- Individual RAUM · $3.8M to $3.8MSep 15, 2025 to Mar 30, 2026
- RAUM · $220M to $275MSep 15, 2025 to Mar 30, 2026
- Wrap assets (manager) · $12.4M to $14.7MSep 15, 2025 to Mar 30, 2026
- Accounts · 102 to 101Mar 27, 2024 to Mar 25, 2025
- Advisory activities · 3 to 4Mar 27, 2024 to Mar 25, 2025
- Charity clients · 9 to 8Mar 27, 2024 to Mar 25, 2025
- Corporate clients · 5 to 4Mar 27, 2024 to Mar 25, 2025
- HNW clients · 74 to 75Mar 27, 2024 to Mar 25, 2025
- Financial planning clients · unset to 1-10Mar 27, 2024 to Mar 25, 2025
- Discretionary RAUM · $192M to $220MMar 27, 2024 to Mar 25, 2025
- HNW RAUM · $108M to $127MMar 27, 2024 to Mar 25, 2025
- Individual RAUM · $3.2M to $3.8MMar 27, 2024 to Mar 25, 2025
- RAUM · $192M to $220MMar 27, 2024 to Mar 25, 2025
- Wrap assets (manager) · $10.0M to $12.4MMar 27, 2024 to Mar 25, 2025
- Accounts · 106 to 102Mar 31, 2023 to Mar 27, 2024
- Charity clients · 10 to 9Mar 31, 2023 to Mar 27, 2024
- HNW clients · 78 to 74Mar 31, 2023 to Mar 27, 2024
- Individual clients · 13 to 14Mar 31, 2023 to Mar 27, 2024
- Discretionary RAUM · $175M to $192MMar 31, 2023 to Mar 27, 2024
- HNW RAUM · $97.2M to $108MMar 31, 2023 to Mar 27, 2024
- Individual RAUM · $2.7M to $3.2MMar 31, 2023 to Mar 27, 2024
- RAUM · $175M to $192MMar 31, 2023 to Mar 27, 2024
- Wrap assets (manager) · $4.9M to $10.0MMar 31, 2023 to Mar 27, 2024
- HNW clients · 69 to 78Mar 30, 2022 to Mar 31, 2023
- Individual clients · 22 to 13Mar 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $224M to $175MMar 30, 2022 to Mar 31, 2023
- HNW RAUM · $121M to $97.2MMar 30, 2022 to Mar 31, 2023
- Individual RAUM · $7.2M to $2.7MMar 30, 2022 to Mar 31, 2023
- RAUM · $224M to $175MMar 30, 2022 to Mar 31, 2023
- Wrap assets (manager) · $6.7M to $4.9MMar 30, 2022 to Mar 31, 2023
- Accounts · 103 to 106Nov 15, 2021 to Mar 30, 2022
- Advisory activities · 2 to 3Nov 15, 2021 to Mar 30, 2022
- HNW clients · 72 to 69Nov 15, 2021 to Mar 30, 2022
- Individual clients · 16 to 22Nov 15, 2021 to Mar 30, 2022
Signals
1 dated events
- Elain Nancy Frohna (Chief Compliance Officer / Chief Operations Officer) no longer on Schedule A of 1492 Capital Management, Llc (listed 2021-11-15, absent 2022-03-30)Mar 30, 2022 · 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
- Business phone
- 414-224-9160reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 414-224-9175reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/1492-capital-management-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- 1492CAPITALMANAGEMENT.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 414-276-1492reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- 1492capitalmanagement.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- 1492capitalmanagement.com/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $91.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026