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
U•••••• I••••••••• C••••••• I•••
Latest filing May 15, 2026
First filing on the tape Jan 26, 2012 · 33 filings
SEC status approved since Sep 16, 2010
RAUM
$330M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
70%
$231M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$110M
derived; firm RAUM over IAPD count
Employees
11
10 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$330M as of May 15, 2026
Jan 26, 2012$582M then
HNW client RAUM$0 as of May 15, 2026
Mar 23, 2018$0 then
State-registered IARs (5.B.3)3 as of May 15, 2026
Mar 25, 20134 then
Employees (5.A)11 as of May 15, 2026
Mar 25, 201314 then
Private funds: no history
RAUM -71% over the last fiscal year-39% a year over threeIARs 2 to 3offices 1 to 5
Practice profile
derived from the filing of May 15, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $110MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 135derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $756,202derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 24%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.7derivedItem 5.A over advisors
- Advisors per office
- 0.5derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- -7.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -25%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, 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 testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$231M70%
- Pension and profit-sharing plans$72.1M22%
- Corporations and businesses$20.2M6.1%
- Charitable organizations$7.2M2.2%
- Individual clients
- 405reported
- HNW clients
- 0reported
- Pension plan clients
- 7reported
- Charitable clients
- 8reported
- Accounts
- 437reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $308M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.7 fund_share=0.0 institutional_share=0.24 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K••• H••••• J•••••• | Camas, Wa | Sep 16, 2010 | 31 y | 3 |
| R•••••• P••• I•••••••• | Milwaukee, Wi | Jan 15, 2025 | 43 y | 4 |
| E•••• M•••• I•••••••• | Milwaukee, Wi | Mar 5, 2026 | 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 headcount1 left over 36 months
Left, latest
- R•••••• P••• I•••••••• to U•••••• I••••••••• A••••••• L••Dec 31, 2024 · Other
Joined, latest
- R•••••• P••• I•••••••• from U•••••• I••••••••• A••••••• L••Jan 15, 2025 · Other
- K••• H••••• J•••••• from U•••••• R••• E••••• A•••••••• I•••Sep 16, 2010 · Other
- R•••••• P••• I•••••••• from U•••••• R••• E••••• A•••••••• I•••Sep 16, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- I••••••••• R••••••• P••• · Chairman, Secretary-Treasurer, Director, Chief Investment Officercontrolsince 02/2018 · owns 75% or more
- J•••••••• M•••• B••• · Vice President And Director Of Compliance And Reporting, Chief Compliance Officer, Secretarycontrolsince 08/2014 · owns less than 5%
- J••••••• K•••• H••••• · President And Chief Executive Officercontrolsince 02/2018 · owns 10% to 25%
- W•••••• J••••• T••••• · Chief Operating Officer And Vice Presidentcontrolsince 06/2021 · owns less than 5%
Related persons
Schedule D 7.A
- U•••••• I••••••••• A••••••• L••investment advisery
Advisers that list U•••••• I••••••••• C••••••• I••• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Milwaukee, Wi · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
0 against comparable advisers; where to look, not conclusions
Nothing stands out against peers.
Data quality: the 2026-06-30 holdings report shows $1,066,526,656 across 213 positions while Form ADV reports RAUM of $330,460,396 (3.2x); one of the two is misfiled, misattributed or in the wrong unit
What changed
consecutive filings, newest first
- Accounts · 1,872 to 437Mar 25, 2026 to May 15, 2026
- Charity clients · 39 to 8Mar 25, 2026 to May 15, 2026
- Corporate clients · 84 to 17Mar 25, 2026 to May 15, 2026
- Individual clients · 1,715 to 405Mar 25, 2026 to May 15, 2026
- Pension plan clients · 34 to 7Mar 25, 2026 to May 15, 2026
- Discretionary RAUM · $381M to $330MMar 25, 2026 to May 15, 2026
- Individual RAUM · $742M to $231MMar 25, 2026 to May 15, 2026
- Non-discretionary RAUM · $655M to $0Mar 25, 2026 to May 15, 2026
- Pension RAUM · $215M to $72.1MMar 25, 2026 to May 15, 2026
- RAUM · $1.0B to $330MMar 25, 2026 to May 15, 2026
- Accounts · 2,483 to 1,872Mar 19, 2025 to Mar 25, 2026
- Advisory employees · 11 to 10Mar 19, 2025 to Mar 25, 2026
- Charity clients · 57 to 39Mar 19, 2025 to Mar 25, 2026
- Corporate clients · 86 to 84Mar 19, 2025 to Mar 25, 2026
- Individual clients · 2,285 to 1,715Mar 19, 2025 to Mar 25, 2026
- Pension plan clients · 33 to 34Mar 19, 2025 to Mar 25, 2026
- Employees · 12 to 11Mar 19, 2025 to Mar 25, 2026
- Insurance-licensed employees · 2 to 0Mar 19, 2025 to Mar 25, 2026
- State-registered IARs · 2 to 3Mar 19, 2025 to Mar 25, 2026
- Other offices · 1 to 5Mar 19, 2025 to Mar 25, 2026
- Discretionary RAUM · $443M to $381MMar 19, 2025 to Mar 25, 2026
- Individual RAUM · $637M to $742MMar 19, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $681M to $655MMar 19, 2025 to Mar 25, 2026
- Pension RAUM · $346M to $215MMar 19, 2025 to Mar 25, 2026
- RAUM · $1.1B to $1.0BMar 19, 2025 to Mar 25, 2026
- Related adviser · true to falseMar 19, 2025 to Mar 25, 2026
- Wrap assets (manager) · $382M to $308MMar 19, 2025 to Mar 25, 2026
- Accounts · 3,496 to 2,483May 14, 2024 to Mar 19, 2025
- Advisory employees · 10 to 11May 14, 2024 to Mar 19, 2025
- Advisory activities · 5 to 4May 14, 2024 to Mar 19, 2025
- Charity clients · 65 to 57May 14, 2024 to Mar 19, 2025
- Corporate clients · 100 to 86May 14, 2024 to Mar 19, 2025
- Individual clients · 3,259 to 2,285May 14, 2024 to Mar 19, 2025
- Pension plan clients · 54 to 33May 14, 2024 to Mar 19, 2025
- Financial planning clients · unset to May 14, 2024 to Mar 19, 2025
- Discretionary RAUM · $607M to $443MMay 14, 2024 to Mar 19, 2025
- Individual RAUM · $917M to $637MMay 14, 2024 to Mar 19, 2025
- Non-discretionary RAUM · $779M to $681MMay 14, 2024 to Mar 19, 2025
- Pension RAUM · $325M to $346MMay 14, 2024 to Mar 19, 2025
- RAUM · $1.4B to $1.1BMay 14, 2024 to Mar 19, 2025
Signals
4 dated events
- U•••••• I••••••••• C••••••• I••• reported RAUM $330.5M, down 68% from $1.0B (2026-03-25 to 2026-05-15)May 15, 2026 · RAUM change · derived
- R•••••• P••• I•••••••• left U•••••• I••••••••• C••••••• I••• for U•••••• I••••••••• A••••••• L•• (registered 2021-06-09)Dec 31, 2024 · Advisor changed firm · fact
- T••••• J•••• W••••• (Chief Operating Officer) appeared on Schedule A of U•••••• I••••••••• C••••••• I•••Mar 25, 2022 · Control person joined · fact
- U•••••• I••••••••• C••••••• I••• reported RAUM $1.6B, down 35% from $2.5B (2018-03-23 to 2019-03-26)Mar 26, 2019 · 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 email
- operations@uniplanic.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 262-534-3000reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 360-210-7068reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/uniplan-investment-counsel-inc-reportedpublic record, Form ADV, Sep 18, 2026
- Website
- U••••••IC.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 262-534-3000reportedpublic record, Form ADV, May 15, 2026
- Contact form
- UNIPLANIC.COM/contact-usreportedpublished 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
- $110Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026