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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
C•••••• W••••• A•••••••• L•••
Latest filing Mar 25, 2026
First filing on the tape Mar 11, 2014 · 19 filings
SEC status approved since Apr 1, 2014
RAUM
$126M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$126M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$126M
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
19 filings and snapshots on the tape
RAUM$126M as of Mar 25, 2026
Feb 2, 2015$117M then
HNW client RAUM$67.8M as of Mar 25, 2026
Mar 26, 2018$38.8M then
State-registered IARs (5.B.3)1 as of Mar 25, 2026
Feb 2, 20151 then
Employees (5.A)2 as of Mar 25, 2026
Feb 2, 20155 then
Private funds: no history
RAUM +11% over the last fiscal year+6.9% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 25, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $126MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 185derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $241,585derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consulting, otherreportedItem 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)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$67.8M54%
- Individuals$58.3M46%
- Individual clients
- 147reported
- HNW clients
- 38reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 522reported
- Financial planning clients
- 11-25reported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• S•••• L••• | West Bend, Wi | Oct 20, 2010 | 35 y | 2 |
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
- C••••••••• A••••• M•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Sep 24, 2014 · Other
Joined, latest
- C••••••••• A••••• M•••••• from D•• M•• W••••• M••••••••• L••Sep 9, 2013 · Other
- D•••• S•••• L••• from W•••••••• W••••• A•••••••• L••Oct 20, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••• D••••• S•••• · Presidentcontrolsince 12/2001 · owns 50% to 75%
- L•••• J•••• S• · Treasurercontrolsince 12/2001 · owns 50% to 75%
- R••••••• D••••• L•• · Chief Compliance Officersince 01/2023 · owns less than 5%
Related persons
Schedule D 7.A
- C•• P•••••• W••••• M•••••••••investment advisernRAUM $276M
Advisers that list C•••••• W••••• A•••••••• L••• as a related person
- 281520 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 530 to 522Mar 31, 2025 to Mar 25, 2026
- HNW clients · 32 to 38Mar 31, 2025 to Mar 25, 2026
- Individual clients · 161 to 147Mar 31, 2025 to Mar 25, 2026
- Financial planning clients · 1-10 to 11-25Mar 31, 2025 to Mar 25, 2026
- Discretionary RAUM · $114M to $126MMar 31, 2025 to Mar 25, 2026
- HNW RAUM · $53.1M to $67.8MMar 31, 2025 to Mar 25, 2026
- Individual RAUM · $60.7M to $58.3MMar 31, 2025 to Mar 25, 2026
- RAUM · $114M to $126MMar 31, 2025 to Mar 25, 2026
- Accounts · 513 to 530Feb 16, 2024 to Mar 31, 2025
- HNW clients · 30 to 32Feb 16, 2024 to Mar 31, 2025
- Individual clients · 172 to 161Feb 16, 2024 to Mar 31, 2025
- Financial planning clients · 1-10 to 1-10Feb 16, 2024 to Mar 31, 2025
- Discretionary RAUM · $107M to $114MFeb 16, 2024 to Mar 31, 2025
- HNW RAUM · $45.3M to $53.1MFeb 16, 2024 to Mar 31, 2025
- Individual RAUM · $61.4M to $60.7MFeb 16, 2024 to Mar 31, 2025
- RAUM · $107M to $114MFeb 16, 2024 to Mar 31, 2025
- Accounts · 564 to 513Feb 16, 2023 to Feb 16, 2024
- HNW clients · 27 to 30Feb 16, 2023 to Feb 16, 2024
- Individual clients · 181 to 172Feb 16, 2023 to Feb 16, 2024
- Discretionary RAUM · $103M to $107MFeb 16, 2023 to Feb 16, 2024
- HNW RAUM · $40.3M to $45.3MFeb 16, 2023 to Feb 16, 2024
- Individual RAUM · $63.0M to $61.4MFeb 16, 2023 to Feb 16, 2024
- RAUM · $103M to $107MFeb 16, 2023 to Feb 16, 2024
- Accounts · 535 to 564Feb 15, 2022 to Feb 16, 2023
- HNW clients · 35 to 27Feb 15, 2022 to Feb 16, 2023
- Individual clients · 182 to 181Feb 15, 2022 to Feb 16, 2023
- Discretionary RAUM · $122M to $103MFeb 15, 2022 to Feb 16, 2023
- HNW RAUM · $54.3M to $40.3MFeb 15, 2022 to Feb 16, 2023
- Individual RAUM · $67.8M to $63.0MFeb 15, 2022 to Feb 16, 2023
- RAUM · $122M to $103MFeb 15, 2022 to Feb 16, 2023
- Accounts · 538 to 535Feb 8, 2021 to Feb 15, 2022
- HNW clients · 27 to 35Feb 8, 2021 to Feb 15, 2022
- Individual clients · 193 to 182Feb 8, 2021 to Feb 15, 2022
- Discretionary RAUM · $111M to $122MFeb 8, 2021 to Feb 15, 2022
- HNW RAUM · $40.7M to $54.3MFeb 8, 2021 to Feb 15, 2022
- Individual RAUM · $70.8M to $67.8MFeb 8, 2021 to Feb 15, 2022
- RAUM · $111M to $122MFeb 8, 2021 to Feb 15, 2022
- Accounts · 673 to 538Jun 30, 2020 to Feb 8, 2021
- Advisory employees · 3 to 2Jun 30, 2020 to Feb 8, 2021
- HNW clients · 28 to 27Jun 30, 2020 to Feb 8, 2021
Signals
1 dated events
- C•••••• W••••• A•••••••• L••• filed its initial SEC registration (Form ADV)Mar 11, 2014 · 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
- Principal office phone
- 262-306-0066reportedpublic record, Form ADV, Mar 25, 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
- $126Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026