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
D••••• W••••• M••••••••• I•••
Latest filing Mar 18, 2026
First filing on the tape Feb 16, 2012 · 27 filings
SEC status approved since Mar 29, 2010
RAUM
$226M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$207M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$56.5M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$226M as of Mar 18, 2026
Feb 16, 2012$92.6M then
HNW client RAUM$173M as of Mar 18, 2026
Mar 31, 2018$45.5M then
State-registered IARs (5.B.3)4 as of Mar 18, 2026
Feb 16, 20120 then
Employees (5.A)6 as of Mar 18, 2026
Feb 1, 20133 then
Private funds: no history
RAUM +24% over the last fiscal year+2.5% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 18, 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
- $56.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 59derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $542,259derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%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
- 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$173M76%
- Individuals$34.5M15%
- Pension and profit-sharing plans$13.6M6.0%
- Corporations and businesses$4.0M1.8%
- Charitable organizations$1.4M0.6%
- Individual clients
- 141reported
- HNW clients
- 95reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 417reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.07 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 |
|---|---|---|---|---|
| C••• A•••• V••••••• | Mequon, Wi | Apr 1, 2010 | 26 y | 2 |
| L••• D••••• V••••••• | Mequon, Wi | Jan 25, 2023 | 11 y | 0 |
| J•••••• A•••• R••••• | Mequon, Wi | Jan 2, 2025 | 18 y | 0 |
| M••• A•••• W••••••• | Mequon, Wi | Jan 2, 2025 | 13 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 headcount2 left over 36 months
Left, latest
- E••• S•••••• to T•• K••••••••• G••••Jul 2, 2024 · RIA to a newly registered adviser
- R••••• A•••••• K••••••••• to T•• K••••••••• G••••Jul 2, 2024 · RIA to a newly registered adviser
Joined, latest
- R••••• A•••••• K••••••••• from L•• F•••••••• L••Jun 15, 2021 · Affiliated broker-dealer or bank to independent RIA
- C••• A•••• V••••••• from R•• C•••••• M••••••• L••Apr 1, 2010 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for T•• K••••••••• G••••Jul 2, 2024 · Mequon, Wi
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- V•••••••• C•••• A•••• · President, Chief Compliance Officercontrolsince 04/2010 · 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 |
|---|---|---|---|---|---|
| Mequon, Wi · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 376 to 417Feb 19, 2025 to Mar 18, 2026
- HNW clients · 80 to 95Feb 19, 2025 to Mar 18, 2026
- Individual clients · 131 to 141Feb 19, 2025 to Mar 18, 2026
- Discretionary RAUM · $183M to $226MFeb 19, 2025 to Mar 18, 2026
- HNW RAUM · $139M to $173MFeb 19, 2025 to Mar 18, 2026
- Individual RAUM · $30.7M to $34.5MFeb 19, 2025 to Mar 18, 2026
- Pension RAUM · $8.5M to $13.6MFeb 19, 2025 to Mar 18, 2026
- RAUM · $183M to $226MFeb 19, 2025 to Mar 18, 2026
- Accounts · 447 to 376Jul 5, 2024 to Feb 19, 2025
- Corporate clients · 10 to 7Jul 5, 2024 to Feb 19, 2025
- HNW clients · 88 to 80Jul 5, 2024 to Feb 19, 2025
- Individual clients · 174 to 131Jul 5, 2024 to Feb 19, 2025
- Financial planning clients · 1-10 to 1-10Jul 5, 2024 to Feb 19, 2025
- Discretionary RAUM · $257M to $183MJul 5, 2024 to Feb 19, 2025
- HNW RAUM · $148M to $139MJul 5, 2024 to Feb 19, 2025
- Individual RAUM · $42.7M to $30.7MJul 5, 2024 to Feb 19, 2025
- Pension RAUM · $7.6M to $8.5MJul 5, 2024 to Feb 19, 2025
- RAUM · $257M to $183MJul 5, 2024 to Feb 19, 2025
- Employees · 8 to 6Mar 18, 2024 to Jul 5, 2024
- Advisory employees · 6 to 4Mar 18, 2024 to Jul 5, 2024
- State-registered IARs · 6 to 4Mar 18, 2024 to Jul 5, 2024
- Other offices · 1 to 0Mar 18, 2024 to Jul 5, 2024
- Accounts · 388 to 447Sep 26, 2023 to Mar 18, 2024
- Corporate clients · 6 to 10Sep 26, 2023 to Mar 18, 2024
- HNW clients · 68 to 88Sep 26, 2023 to Mar 18, 2024
- Individual clients · 157 to 174Sep 26, 2023 to Mar 18, 2024
- Discretionary RAUM · $202M to $257MSep 26, 2023 to Mar 18, 2024
- HNW RAUM · $115M to $148MSep 26, 2023 to Mar 18, 2024
- Individual RAUM · $42.3M to $42.7MSep 26, 2023 to Mar 18, 2024
- Non-discretionary RAUM · $8.4M to $0Sep 26, 2023 to Mar 18, 2024
- Pension RAUM · $8.1M to $7.6MSep 26, 2023 to Mar 18, 2024
- RAUM · $210M to $257MSep 26, 2023 to Mar 18, 2024
- Accounts · 365 to 388Mar 7, 2022 to Feb 9, 2023
- Advisory employees · 5 to 6Mar 7, 2022 to Feb 9, 2023
- Corporate clients · 5 to 6Mar 7, 2022 to Feb 9, 2023
- HNW clients · 66 to 68Mar 7, 2022 to Feb 9, 2023
- Individual clients · 151 to 157Mar 7, 2022 to Feb 9, 2023
- Employees · 7 to 8Mar 7, 2022 to Feb 9, 2023
- State-registered IARs · 5 to 6Mar 7, 2022 to Feb 9, 2023
- Discretionary RAUM · $220M to $202MMar 7, 2022 to Feb 9, 2023
Signals
6 dated events
- E••• S•••••• left D••••• W••••• M••••••••• I••• for T•• K••••••••• G•••• (registered 2024-06-05)Jul 2, 2024 · Advisor changed firm · fact
- 2 advisors left D••••• W••••• M••••••••• I••• (Mequon, WI) for T•• K••••••••• G•••• on the same dayJul 2, 2024 · Team lift-out · derived
- R••••• A•••••• K••••••••• left D••••• W••••• M••••••••• I••• for T•• K••••••••• G•••• (registered 2024-06-25)Jul 2, 2024 · Advisor changed firm · fact
- John Daniel Ringsred (Member) no longer on Schedule A of D••••• W••••• M••••••••• I••• (listed 2023-02-09, absent 2023-09-26)Sep 26, 2023 · Control person left · inference
- D••••• W••••• M••••••••• I••• reported RAUM $229.0M, up 145% from $93.4M (2021-03-15 to 2022-03-07)Mar 7, 2022 · RAUM change · derived
- D••••• W••••• M••••••••• I••• reported RAUM $80.5M, down 74% from $310.1M (2018-07-25 to 2018-10-05)Oct 5, 2018 · RAUM change · derived
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
- 414-978-0020reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- D•••••WM.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 414-978-0020reportedpublic record, Form ADV, Mar 18, 2026
- Contact form
- d•••••••.comreportedpublished 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
- $56.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026