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•••••• M••••••••• L••
Latest filing Jul 13, 2026
First filing on the tape Mar 29, 2024 · 6 filings
SEC status approved since Apr 30, 2024
RAUM
$176M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
94%
$166M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$44.1M
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
6 filings and snapshots on the tape
RAUM$176M as of Jul 13, 2026
Mar 14, 2025$147M then
HNW client RAUM$144M as of Jul 13, 2026
Mar 14, 2025$133M then
State-registered IARs (5.B.3)3 as of Jul 13, 2026
Mar 14, 20252 then
Employees (5.A)3 as of Jul 13, 2026
Mar 14, 20252 then
Private funds: no history
RAUM +20% over the last fiscal yearIARs 2 to 3offices 1 to 2
Practice profile
derived from the filing of Jul 13, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- RAUM per advisor
- $44.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 31derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $593,477derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 5.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.9%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$144M82%
- Individuals$22.6M13%
- Pension and profit-sharing plans$9.9M5.6%
- Individual clients
- 73reported
- HNW clients
- 50reported
- Pension plan clients
- 2reported
- Charitable clients
- 0reported
- Accounts
- 297reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••••• D••••• C••••• | Appleton, Wi | Dec 11, 2009 | 25 y | 4 |
| J••••• R•••••• C•••• | Santa Clarita, Ca | Dec 11, 2009 | 24 y | 4 |
| M•••••• C••• S•••• | Appleton, Wi | Jul 17, 2025 | 18 y | 0 |
| C••••••••• P•••••• C••••• | Trabuco Canyon, Ca | Jul 21, 2025 | 11 y | 0 |
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
none on the tape
Joined, latest
- P•••••• D••••• C••••• from M••••• S••••••Dec 11, 2009 · Wirehouse to independent RIA
- J••••• R•••••• C•••• from M••••• S••••••Dec 11, 2009 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• P••••••• D••••• · Managing Member And Chief Compliance Officercontrolsince 11/2009 · owns 75% or more
Related persons
Schedule D 7.A
- R•••••••• I•••investment advisern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Appleton, Wi · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 269 to 297Mar 14, 2025 to Feb 13, 2026
- Advisory employees · 2 to 3Mar 14, 2025 to Feb 13, 2026
- Advisory activities · 2 to 3Mar 14, 2025 to Feb 13, 2026
- HNW clients · 53 to 50Mar 14, 2025 to Feb 13, 2026
- Individual clients · 61 to 73Mar 14, 2025 to Feb 13, 2026
- Pension plan clients · 0 to 2Mar 14, 2025 to Feb 13, 2026
- Employees · 2 to 3Mar 14, 2025 to Feb 13, 2026
- Financial planning clients · to 101-250Mar 14, 2025 to Feb 13, 2026
- State-registered IARs · 2 to 3Mar 14, 2025 to Feb 13, 2026
- Other offices · 1 to 2Mar 14, 2025 to Feb 13, 2026
- Discretionary RAUM · $147M to $166MMar 14, 2025 to Feb 13, 2026
- HNW RAUM · $133M to $144MMar 14, 2025 to Feb 13, 2026
- Individual RAUM · $14.3M to $22.6MMar 14, 2025 to Feb 13, 2026
- Non-discretionary RAUM · $0 to $9.9MMar 14, 2025 to Feb 13, 2026
- Pension RAUM · $0 to $9.9MMar 14, 2025 to Feb 13, 2026
- RAUM · $147M to $176MMar 14, 2025 to Feb 13, 2026
- Accounts · 218 to 269Oct 28, 2024 to Mar 14, 2025
- HNW clients · 63 to 53Oct 28, 2024 to Mar 14, 2025
- Individual clients · 34 to 61Oct 28, 2024 to Mar 14, 2025
- Financial planning clients · unset to Oct 28, 2024 to Mar 14, 2025
- Discretionary RAUM · $106M to $147MOct 28, 2024 to Mar 14, 2025
- HNW RAUM · $101M to $133MOct 28, 2024 to Mar 14, 2025
- Individual RAUM · $4.9M to $14.3MOct 28, 2024 to Mar 14, 2025
- RAUM · $106M to $147MOct 28, 2024 to Mar 14, 2025
- Accounts · 219 to 218Apr 1, 2024 to Oct 28, 2024
- Pension plan clients · 1 to 0Apr 1, 2024 to Oct 28, 2024
- Other offices · 0 to 1Apr 1, 2024 to Oct 28, 2024
- Non-discretionary RAUM · $7.8M to $0Apr 1, 2024 to Oct 28, 2024
- Pension RAUM · $7.8M to $0Apr 1, 2024 to Oct 28, 2024
- RAUM · $114M to $106MApr 1, 2024 to Oct 28, 2024
Signals
1 dated events
- C••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 29, 2024 · 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
- Firm profile
- linkedin.com/company/collar-capital-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 920-830-1556reportedpublic record, Form ADV, Jul 13, 2026
- Contact form
- collarcapital.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- collarcapital.com/our-advisorsreportedpublished by the firm, firm site, Sep 16, 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
- $44.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026