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.
SEC-registered adviser
Park Capital Management, LLC
Latest filing Mar 6, 2026
First filing on the tape Mar 15, 2019 · 34 filings
SEC status approved since May 8, 2019
RAUM
$868M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
57%
$492M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$174M
derived; firm RAUM over IAPD count
Employees
9
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$868M as of Mar 6, 2026
Mar 19, 2020$137M then
HNW client RAUM$305M as of Mar 6, 2026
Mar 19, 2020$30.6M then
State-registered IARs (5.B.3)5 as of Mar 6, 2026
Mar 19, 20200 then
Employees (5.A)9 as of Mar 6, 2026
Mar 19, 20207 then
Private funds: no history
RAUM +18% over the last fiscal year+42% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 6, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $174MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 111derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $468,422derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 41%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$335M39%
- High-net-worth individuals$305M35%
- Individuals$188M22%
- Charitable organizations$21.7M2.5%
- Corporations and businesses$17.4M2.0%
- Insurance companies$1.4M0.2%
- Individual clients
- 470reported
- HNW clients
- 87reported
- Pension plan clients
- 46reported
- Charitable clients
- 6reported
- Accounts
- 1,853reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.57 fund_share=0.0 institutional_share=0.41 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Clinton Lee BauchCertified Financial Planner | Madison, Wi | Nov 10, 2011 | 30 y | 2 |
| Daniel James Spellman | Madison, Wi | Jan 29, 2014 | 27 y | 1 |
| John Paul FriarCertified Financial Planner | Middleton, Wi | Sep 23, 2014 | 18 y | 2 |
| Cameron T GrayCertified Financial Planner | Madison, Wi | Apr 18, 2018 | 13 y | 2 |
| Alyssa L Thompson | Madison, Wi | Sep 7, 2018 | 11 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 headcount0 left over 36 months
Left, latest
- Emma Willemarijn Mueller to Wealth Enhancement Advisory Services, LLCDec 31, 2022 · RIA to affiliated broker-dealer or bank
Joined, latest
- Cameron T Gray from Pnc Wealth ManagementApr 18, 2018 · Affiliated broker-dealer or bank to independent RIA
- John Paul Friar from Valmark Advisers, Inc.Sep 23, 2014 · Other
- Daniel James Spellman from M&I Investment Management Corp.Jan 29, 2014 · Other
- Clinton Lee Bauch from Cambridge Investment Research Advisors, Inc.Nov 10, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Lee Clinton Bauch · Member/Ceo/Presidentcontrolsince 07/2012 · owns 25% to 50%
- A James Senty · Ownercontrolsince 12/1983 · owns 75% or more of Park Bancorporation, Inc
- Paul John Friar · Membersince 01/2019 · owns less than 5%
- Gary Christopher Kleine · Chief Compliance Officersince 12/2022 · owns less than 5%
Entity owners
- Hausmann-Johnson Insurance · Memberdirect · owns 25% to 50%
- The Park Bank, Inc · Memberdirect · owns 25% to 50%
- Igeniumprime, Inc. · Ownerindirect · owns 75% or more of Hausmann-Johnson Insurance
- Park Bancorporation, Inc · Ownerindirect · owns 75% or more of The Park Bank, Inc
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 |
|---|---|---|---|---|---|
| Madison, Wi · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,338 to 1,853Sep 15, 2025 to Mar 6, 2026
- Charity clients · 7 to 6Sep 15, 2025 to Mar 6, 2026
- Corporate clients · 12 to 15Sep 15, 2025 to Mar 6, 2026
- HNW clients · 80 to 87Sep 15, 2025 to Mar 6, 2026
- Individual clients · 445 to 470Sep 15, 2025 to Mar 6, 2026
- Discretionary RAUM · $720M to $859MSep 15, 2025 to Mar 6, 2026
- HNW RAUM · $251M to $305MSep 15, 2025 to Mar 6, 2026
- Individual RAUM · $149M to $188MSep 15, 2025 to Mar 6, 2026
- Non-discretionary RAUM · $12.4M to $8.9MSep 15, 2025 to Mar 6, 2026
- Pension RAUM · $296M to $335MSep 15, 2025 to Mar 6, 2026
- RAUM · $733M to $868MSep 15, 2025 to Mar 6, 2026
- Financial planning clients · 251-500 to 251-500Mar 6, 2025 to Jun 12, 2025
- Accounts · 1,290 to 1,338Mar 6, 2024 to Mar 6, 2025
- Charity clients · 11 to 7Mar 6, 2024 to Mar 6, 2025
- Corporate clients · 11 to 12Mar 6, 2024 to Mar 6, 2025
- HNW clients · 66 to 80Mar 6, 2024 to Mar 6, 2025
- Individual clients · 431 to 445Mar 6, 2024 to Mar 6, 2025
- Pension plan clients · 0 to 46Mar 6, 2024 to Mar 6, 2025
- Discretionary RAUM · $368M to $720MMar 6, 2024 to Mar 6, 2025
- HNW RAUM · $194M to $251MMar 6, 2024 to Mar 6, 2025
- Individual RAUM · $113M to $149MMar 6, 2024 to Mar 6, 2025
- Non-discretionary RAUM · $9.0M to $12.4MMar 6, 2024 to Mar 6, 2025
- Pension RAUM · $0 to $296MMar 6, 2024 to Mar 6, 2025
- RAUM · $377M to $733MMar 6, 2024 to Mar 6, 2025
- Accounts · 1,022 to 1,290Sep 18, 2023 to Mar 6, 2024
- Advisory employees · 4 to 5Sep 18, 2023 to Mar 6, 2024
- Charity clients · 3 to 11Sep 18, 2023 to Mar 6, 2024
- Corporate clients · 4 to 11Sep 18, 2023 to Mar 6, 2024
- HNW clients · 71 to 66Sep 18, 2023 to Mar 6, 2024
- Individual clients · 358 to 431Sep 18, 2023 to Mar 6, 2024
- Assets in custody · 60855445.0 to unsetSep 18, 2023 to Mar 6, 2024
- Custody of client assets · true to falseSep 18, 2023 to Mar 6, 2024
- Employees · 8 to 9Sep 18, 2023 to Mar 6, 2024
- State-registered IARs · 4 to 5Sep 18, 2023 to Mar 6, 2024
- Discretionary RAUM · $299M to $368MSep 18, 2023 to Mar 6, 2024
- HNW RAUM · $129M to $194MSep 18, 2023 to Mar 6, 2024
- Individual RAUM · $95.7M to $113MSep 18, 2023 to Mar 6, 2024
- Non-discretionary RAUM · $6.3M to $9.0MSep 18, 2023 to Mar 6, 2024
- RAUM · $306M to $377MSep 18, 2023 to Mar 6, 2024
- Advisory employees · 5 to 4Apr 14, 2023 to Aug 9, 2023
Signals
5 dated events
- Park Capital Management, Llc reported RAUM $732.8M, up 94% from $377.1M (2024-03-06 to 2025-03-06)Mar 6, 2025 · RAUM change · derived
- Emma Willemarijn Mueller left Park Capital Management, Llc for Wealth Enhancement Advisory Services, Llc (registered 2023-02-07)Dec 31, 2022 · Advisor changed firm · fact
- Park Capital Management, Llc reported RAUM $303.5M, up 72% from $176.5M (2021-12-07 to 2022-02-07)Feb 7, 2022 · RAUM change · derived
- A James Senty (Owner) appeared on Schedule A of Park Capital Management, LlcApr 8, 2019 · Control person joined · fact
- Park Capital Management, Llc filed its initial SEC registration (Form ADV)Mar 15, 2019 · 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
- Business email
- info@parkcapitalmgt.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- mblodgett@parkcapitalmgt.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- ryee@parkcapitalmgt.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- ckleine@parkcapitalmgt.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- ktrapp@parkcapitalmgt.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 608-218-5597reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 608-218-5609reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 608-218-5567reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/parkcapitalmgt.comreportedpublic record, Form ADV, Sep 18, 2026
- Website
- PARKCAPITALMGT.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 608-440-8608reportedpublic record, Form ADV, Mar 6, 2026
- Contact form
- parkcapitalmgt.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
- $174Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026