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
R•• W••••• A••••••• L••
Latest filing Mar 27, 2024
First filing on the tape Mar 29, 2012 · 26 filings
RAUM
$369M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$363M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$369M as of Mar 27, 2024
Mar 29, 2012$90.2M then
HNW client RAUM$329M as of Mar 27, 2024
Mar 9, 2018$195M then
State-registered IARs (5.B.3)2 as of Mar 27, 2024
Mar 29, 20120 then
Employees (5.A)2 as of Mar 27, 2024
Mar 20, 20134 then
Private funds: no history
RAUM +7.3% over the last fiscal year+5.4% a year over threeIARs 2 to 2offices 2 to 0
Practice profile
derived from the filing of Mar 27, 2024; every figure names its basis
- RAUM per advisor
- $185MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 83derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.3MderivedHNW RAUM over HNW clients
- Average account
- $758,378derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Wrap fee program
- $369MreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$329M89%
- Individuals$33.8M9.2%
- Charitable organizations$6.1M1.6%
- Pension and profit-sharing plans$223,9700.1%
- Individual clients
- 120reported
- HNW clients
- 45reported
- Pension plan clients
- 1reported
- Charitable clients
- 4reported
- Accounts
- 487reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
Left, latest
- D•••••• K•••• G•••••• to M••••• G••••• A••••••• I•••Jul 2, 2024 · RIA to RIA
- E••• J••• M•••••••• to A••••• W••••• M••••••••• I•••Jul 2, 2024 · Other
Joined, latest
- E••• J••• M•••••••• from E••••• F•••••••• P••••••• L••Aug 25, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••• D••••••• K•••• · Chief Compliance Officercontrolsince 08/2021 · owns less than 5%
- M••••••••• E•••• J••• · Managing Membercontrolsince 07/2009 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Madison, Wi · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 517 to 487Jun 14, 2023 to Mar 27, 2024
- Charity clients · 2 to 4Jun 14, 2023 to Mar 27, 2024
- HNW clients · 68 to 45Jun 14, 2023 to Mar 27, 2024
- Individual clients · 97 to 120Jun 14, 2023 to Mar 27, 2024
- Pension plan clients · 3 to 1Jun 14, 2023 to Mar 27, 2024
- Employees · 5 to 2Jun 14, 2023 to Mar 27, 2024
- Insurance-licensed employees · 0 to 2Jun 14, 2023 to Mar 27, 2024
- Other offices · 2 to 0Jun 14, 2023 to Mar 27, 2024
- Discretionary RAUM · $339M to $369MJun 14, 2023 to Mar 27, 2024
- HNW RAUM · $321M to $329MJun 14, 2023 to Mar 27, 2024
- Individual RAUM · $16.1M to $33.8MJun 14, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $5.7M to $0Jun 14, 2023 to Mar 27, 2024
- Pension RAUM · $5.9M to $223,970Jun 14, 2023 to Mar 27, 2024
- RAUM · $344M to $369MJun 14, 2023 to Mar 27, 2024
- Accounts · 470 to 517Mar 24, 2022 to Mar 31, 2023
- Advisory employees · 3 to 2Mar 24, 2022 to Mar 31, 2023
- HNW clients · 62 to 68Mar 24, 2022 to Mar 31, 2023
- Individual clients · 94 to 97Mar 24, 2022 to Mar 31, 2023
- Employees · 6 to 5Mar 24, 2022 to Mar 31, 2023
- State-registered IARs · 0 to 2Mar 24, 2022 to Mar 31, 2023
- Discretionary RAUM · $377M to $339MMar 24, 2022 to Mar 31, 2023
- HNW RAUM · $354M to $321MMar 24, 2022 to Mar 31, 2023
- Individual RAUM · $21.1M to $16.1MMar 24, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $5.8M to $5.7MMar 24, 2022 to Mar 31, 2023
- Pension RAUM · $5.8M to $5.9MMar 24, 2022 to Mar 31, 2023
- RAUM · $383M to $344MMar 24, 2022 to Mar 31, 2023
- Accounts · 153 to 470Aug 11, 2021 to Mar 24, 2022
- Charity clients · 1 to 2Aug 11, 2021 to Mar 24, 2022
- HNW clients · 25 to 62Aug 11, 2021 to Mar 24, 2022
- Individual clients · 153 to 94Aug 11, 2021 to Mar 24, 2022
- Pension plan clients · unset to 3.0Aug 11, 2021 to Mar 24, 2022
- Discretionary RAUM · $315M to $377MAug 11, 2021 to Mar 24, 2022
- HNW RAUM · $259M to $354MAug 11, 2021 to Mar 24, 2022
- Individual RAUM · $54.8M to $21.1MAug 11, 2021 to Mar 24, 2022
- Non-discretionary RAUM · $0 to $5.8MAug 11, 2021 to Mar 24, 2022
- Pension RAUM · unset to 5836671.0Aug 11, 2021 to Mar 24, 2022
- RAUM · $315M to $383MAug 11, 2021 to Mar 24, 2022
- Accounts · 139 to 153Jun 25, 2020 to Jan 22, 2021
- HNW clients · 35 to 25Jun 25, 2020 to Jan 22, 2021
- Individual clients · 104 to 153Jun 25, 2020 to Jan 22, 2021
Signals
2 dated events
- D•••••• K•••• G•••••• left R•• W••••• A••••••• L•• for M••••• G••••• A••••••• I••• (registered 2023-06-15)Jul 2, 2024 · Advisor changed firm · fact
- E••• J••• M•••••••• left R•• W••••• A••••••• L•• for A••••• W••••• M••••••••• I••• (registered 2009-11-04)Jul 2, 2024 · Advisor changed firm · fact
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