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

P••••••••• F•••••••• M••••••••• I•••

Independent wealth managerAppleton, WisconsinCRD 154016SEC 801-135207websiteIAPD
Latest filing Mar 18, 2026
First filing on the tape Jan 20, 2026 · 2 filings
SEC status approved since Jan 21, 2026
RAUM
$116M
reported, Item 5.F
Discretionary
87%
of RAUM
Private clients
100%
$116M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$38.5M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$116M as of Mar 18, 2026
Jan 20, 2026$103M then
HNW client RAUM$64.5M as of Mar 18, 2026
Jan 20, 2026$52.1M then
State-registered IARs (5.B.3)3 as of Mar 18, 2026
Jan 20, 20263 then
Employees (5.A)5 as of Mar 18, 2026
Jan 20, 20265 then
Private funds: no history
RAUM n/a over the last fiscal year
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
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$38.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
55derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.7MderivedHNW RAUM over HNW clients
Average account
$175,297derivedRAUM over accounts (5.F.2.f)
Discretionary
87%derivedof RAUM
Institutional
0.0%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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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)
  • compensates persons for client referrals (8.G.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$64.5M56%
  • Individuals$51.0M44%
Individual clients
126reported
HNW clients
38reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
659reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
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=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
M••• J••• V•••••••••Certified Financial PlannerAppleton, WiJun 29, 201024 y2
D••••• A•••• S••••Chartered Financial AnalystAppleton, WiJun 29, 201017 y2
K••• D•••••• R••••Certified Financial PlannerAppleton, WiJun 29, 201019 y2
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • R••••• K•••• D•••••• · Chief Compliance Officer And Secretarycontrol
      since 01/2013 · owns 25% to 50%
    • S••••• D•••••• A•••• · Vice Presidentcontrol
      since 01/2013 · owns 25% to 50%
    • V••••••••• M•••• J••• · Presidentcontrol
      since 05/2010 · owns 25% to 50%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Appleton, Wi · principal300
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 648 to 659
      Jan 20, 2026 to Mar 18, 2026
    • HNW clients · 32 to 38
      Jan 20, 2026 to Mar 18, 2026
    • Individual clients · 128 to 126
      Jan 20, 2026 to Mar 18, 2026
    • Discretionary RAUM · $90.0M to $101M
      Jan 20, 2026 to Mar 18, 2026
    • HNW RAUM · $52.1M to $64.5M
      Jan 20, 2026 to Mar 18, 2026
    • Individual RAUM · $51.1M to $51.0M
      Jan 20, 2026 to Mar 18, 2026
    • Non-discretionary RAUM · $13.2M to $14.7M
      Jan 20, 2026 to Mar 18, 2026
    • RAUM · $103M to $116M
      Jan 20, 2026 to Mar 18, 2026
    Signals
    No event on the tape.
    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
    920-687-2600reportedpublished by the firm, firm site, Sep 17, 2026
    Firm profile
    LINKEDIN.COM/COMPANY/P•••••••••-FINANCIAL-MANAGEMENT-INC.reportedpublic record, Form ADV, Sep 18, 2026
    Website
    w••.p•••••.comreportedpublic record, Form ADV, Sep 18, 2026
    Principal office phone
    920-687-2600reportedpublic record, Form ADV, Mar 18, 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
    $38.5Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026