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
F••••••• P••••••• G••••
Legal name F••••••• P••••••• G••••• L••
Latest filing Aug 26, 2026
First filing on the tape Mar 2, 2023 · 7 filings
SEC status approved since May 19, 2023
RAUM
$345M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$345M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$69.1M
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$345M as of Aug 26, 2026
Mar 26, 2024$226M then
HNW client RAUM$272M as of Aug 26, 2026
Mar 26, 2024$162M then
State-registered IARs (5.B.3)5 as of Aug 26, 2026
Mar 26, 20243 then
Employees (5.A)6 as of Aug 26, 2026
Mar 26, 20244 then
Private funds: no history
RAUM +24% over the last fiscal yearIARs 3 to 5
Practice profile
derived from the filing of Aug 26, 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
- $69.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 57derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $382,813derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +67%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.4%derived
- Compensation
- percentage of assetsreportedItem 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)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$272M79%
- Individuals$73.6M21%
- Individual clients
- 215reported
- HNW clients
- 68reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 902reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• W•••••• W••••••Certified Financial Planner | Pewaukee, Wi | Oct 31, 2011 | 15 y | 0 |
| K•••• R••••• S•••••••• | Pewaukee, Wi | Jan 3, 2019 | 12 y | 0 |
| B•••• D•••• C••••Chartered Financial Analyst | Pewaukee, Wi | Feb 17, 2022 | 25 y | 2 |
| C•••••••• M•••• M••••••• | Pewaukee, Wi | Jun 14, 2024 | 11 y | 0 |
| J••• P•••••• | Pewaukee, Wi | Nov 17, 2025 | 11 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- J••• P•••••• from S•••••••• A••••••• L••Nov 17, 2025 · Affiliated broker-dealer or bank to independent RIA
- B•••• D•••• C•••• from K• P• F••••••••• I•••Feb 17, 2022 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• B••••• D•••• · Membercontrolsince 03/2022 · owns 25% to 50%
- S••••••••• K••••• R••••• · Chief Compliance Officercontrolsince 07/2019 · owns 25% to 50%
- W••••••• S••••• W•••••• · Managing Membercontrolsince 05/2011 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Pewaukee, Wi · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Madison, WI2 employees
What changed
consecutive filings, newest first
- Accounts · 792 to 902Feb 5, 2025 to Mar 2, 2026
- Advisory employees · 3 to 5Feb 5, 2025 to Mar 2, 2026
- HNW clients · 49 to 68Feb 5, 2025 to Mar 2, 2026
- Individual clients · 212 to 215Feb 5, 2025 to Mar 2, 2026
- Employees · 4 to 6Feb 5, 2025 to Mar 2, 2026
- State-registered IARs · 3 to 5Feb 5, 2025 to Mar 2, 2026
- Discretionary RAUM · $279M to $345MFeb 5, 2025 to Mar 2, 2026
- HNW RAUM · $207M to $272MFeb 5, 2025 to Mar 2, 2026
- Individual RAUM · $72.2M to $73.6MFeb 5, 2025 to Mar 2, 2026
- RAUM · $279M to $345MFeb 5, 2025 to Mar 2, 2026
- Accounts · 764 to 792Mar 26, 2024 to Feb 5, 2025
- HNW clients · 41 to 49Mar 26, 2024 to Feb 5, 2025
- Individual clients · 202 to 212Mar 26, 2024 to Feb 5, 2025
- Financial planning clients · 101-250 to 251-500Mar 26, 2024 to Feb 5, 2025
- Discretionary RAUM · $226M to $279MMar 26, 2024 to Feb 5, 2025
- HNW RAUM · $162M to $207MMar 26, 2024 to Feb 5, 2025
- Individual RAUM · $64.7M to $72.2MMar 26, 2024 to Feb 5, 2025
- RAUM · $226M to $279MMar 26, 2024 to Feb 5, 2025
- Accounts · 704 to 764Aug 2, 2023 to Mar 26, 2024
- HNW clients · 28 to 41Aug 2, 2023 to Mar 26, 2024
- Individual clients · 200 to 202Aug 2, 2023 to Mar 26, 2024
- Discretionary RAUM · $184M to $226MAug 2, 2023 to Mar 26, 2024
- HNW RAUM · $125M to $162MAug 2, 2023 to Mar 26, 2024
- Individual RAUM · $59.1M to $64.7MAug 2, 2023 to Mar 26, 2024
- RAUM · $184M to $226MAug 2, 2023 to Mar 26, 2024
Signals
1 dated events
- F••••••• P••••••• G•••• filed its initial SEC registration (Form ADV)Mar 2, 2023 · 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/9310803reportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 262-264-5838reportedpublic record, Form ADV, Aug 26, 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
- $69.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026