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.

Former SEC-registered adviser

Sva Wealth Management, LLC

Former SEC-registered adviserMadison, WisconsinCRD 159216SEC 801-72818IAPD
Latest filing Sep 4, 2020
First filing on the tape Nov 18, 2011 · 38 filings
RAUM
$2.8B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
70%
$1.9B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
63
38 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$2.8B as of Aug 28, 2020
Aug 23, 2012$1.0B then
HNW client RAUM$1.7B as of Aug 28, 2020
Aug 23, 2018$1.5B then
State-registered IARs (5.B.3)39 as of Aug 28, 2020
Aug 26, 201323 then
Employees (5.A)63 as of Aug 28, 2020
Aug 26, 201337 then
Private funds: no history
RAUM +3.4% over the last fiscal year+5.7% a year over threeIARs 39 to 39
Practice profile
derived from the filing of Sep 4, 2020; every figure names its basis
RAUM per advisor
$71.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
32derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.5MderivedHNW RAUM over HNW clients
Average account
$537,804derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
14%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.6derivedItem 5.A over advisors
Advisors per office
13.0derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+3.4%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+4.4%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
Custody
$1.2B, 979 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • 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
  • High-net-worth individuals$1.7B62%
  • Banks and thrifts$435M16%
  • Pension and profit-sharing plans$350M13%
  • Individuals$206M7.4%
  • Corporations and businesses$26.6M1.0%
  • Charitable organizations$26.2M0.9%
Individual clients
548reported
HNW clients
703reported
Pension plan clients
111reported
Charitable clients
20reported
Accounts
5,156reported
Financial planning clients
251-500reported
Wrap fee programs
$0 sponsored, $7.5M managedreported
Custody of client assets
$1.2B for 979 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Anthony John Baltes · Chief Executive Officercontrol
      since 04/2019 · owns less than 5%
    • Guyan Daniel Gibson · Vice Presidentcontrol
      since 09/2018 · owns less than 5%
    • Ellen Maureen Hansen · Presidentcontrol
      since 03/2011 · owns less than 5%
    • Rock Timothy Obrien · Vice Presidentcontrol
      since 03/2011 · owns less than 5%
    • Lynn Debra Oswald · Vice Presidentcontrol
      since 09/2015 · owns less than 5%
    • Anthony John Baltes · Elected Managercontrol
      since 06/2016 · owns F of Sva Financial Group, LLC
    • Ellen Maureen Hansen · Elected Managercontrol
      since 06/2017 · owns F of Sva Financial Group, LLC
    • G Joel Nettesheim · Elected Managercontrol
      since 06/2019 · owns F of Sva Financial Group, LLC
    • Lee Kathryn Norton · Elected Managercontrol
      since 06/2019 · owns F of Sva Financial Group, LLC
    • Elmer Carl Schultz · Elected Managercontrol
      since 06/2013 · owns F of Sva Financial Group, LLC
    • William Lawrence Clay · Chief Compliance Officer
      since 06/2019 · owns less than 5%
    Entity owners
    • Sva Financial Group, LLC · Managing Member
      direct · owns 75% or more
    • Diversified Services Of Wisconsin, Inc. · Member
      indirect · owns 75% or more of Sva Financial Group, LLC
    Related persons
    Schedule D 7.A
    • Sva Certified Public Accountants S.C.
      insurancen
    • Sva Financial Services, LLC
      real estatey
    • Sva Trust Company, LLC
      n
    Offices
    Schedule D 1.F, the 25 largest
    • Brookfield, WI6 employees
    • Appleton, WI1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 4,869 to 5,156
      Jun 24, 2020 to Aug 28, 2020
    • Charity clients · 19 to 20
      Jun 24, 2020 to Aug 28, 2020
    • Corporate clients · 18 to 23
      Jun 24, 2020 to Aug 28, 2020
    • HNW clients · 680 to 703
      Jun 24, 2020 to Aug 28, 2020
    • Individual clients · 518 to 548
      Jun 24, 2020 to Aug 28, 2020
    • Pension plan clients · 109 to 111
      Jun 24, 2020 to Aug 28, 2020
    • Assets in custody · $1.2B to $1.2B
      Jun 24, 2020 to Aug 28, 2020
    • Discretionary RAUM · $2.6B to $2.7B
      Jun 24, 2020 to Aug 28, 2020
    • HNW RAUM · $1.7B to $1.7B
      Jun 24, 2020 to Aug 28, 2020
    • Individual RAUM · $197M to $206M
      Jun 24, 2020 to Aug 28, 2020
    • Non-discretionary RAUM · $33.8M to $39.0M
      Jun 24, 2020 to Aug 28, 2020
    • Pension RAUM · $342M to $350M
      Jun 24, 2020 to Aug 28, 2020
    • RAUM · $2.7B to $2.8B
      Jun 24, 2020 to Aug 28, 2020
    • Accounts · 4,849 to 4,869
      Jul 2, 2019 to Aug 28, 2019
    • Advisory employees · 37 to 38
      Jul 2, 2019 to Aug 28, 2019
    • Advisory activities · 5 to 7
      Jul 2, 2019 to Aug 28, 2019
    • Charity clients · 18 to 19
      Jul 2, 2019 to Aug 28, 2019
    • Corporate clients · 16 to 18
      Jul 2, 2019 to Aug 28, 2019
    • HNW clients · 639 to 680
      Jul 2, 2019 to Aug 28, 2019
    • Individual clients · 551 to 518
      Jul 2, 2019 to Aug 28, 2019
    • Pension plan clients · 113 to 109
      Jul 2, 2019 to Aug 28, 2019
    • Assets in custody · $1.1B to $1.2B
      Jul 2, 2019 to Aug 28, 2019
    • Insurance-licensed employees · 1 to 0
      Jul 2, 2019 to Aug 28, 2019
    • State-registered IARs · 35 to 39
      Jul 2, 2019 to Aug 28, 2019
    • Discretionary RAUM · $2.6B to $2.6B
      Jul 2, 2019 to Aug 28, 2019
    • HNW RAUM · $1.5B to $1.7B
      Jul 2, 2019 to Aug 28, 2019
    • Individual RAUM · $207M to $197M
      Jul 2, 2019 to Aug 28, 2019
    • Non-discretionary RAUM · $30.6M to $33.8M
      Jul 2, 2019 to Aug 28, 2019
    • Pension RAUM · $349M to $342M
      Jul 2, 2019 to Aug 28, 2019
    • RAUM · $2.6B to $2.7B
      Jul 2, 2019 to Aug 28, 2019
    • Wrap assets (manager) · $8.3M to $7.5M
      Jul 2, 2019 to Aug 28, 2019
    • Business name · SVA PLUMB WEALTH MANAGEMENT, LLC to SVA WEALTH MANAGEMENT, LLC
      Apr 3, 2019 to Jun 3, 2019
    • Legal name · SVA PLUMB WEALTH MANAGEMENT, LLC to SVA WEALTH MANAGEMENT, LLC
      Apr 1, 2019 to Apr 3, 2019
    • Related adviser · true to false
      Sep 5, 2018 to Apr 1, 2019
    • Accounts · 4,587 to 4,849
      May 23, 2018 to Aug 23, 2018
    • Advisory employees · 41 to 37
      May 23, 2018 to Aug 23, 2018
    • Charity clients · unset to 18.0
      May 23, 2018 to Aug 23, 2018
    • Corporate clients · unset to 16.0
      May 23, 2018 to Aug 23, 2018
    • HNW clients · unset to 639.0
      May 23, 2018 to Aug 23, 2018
    • Individual clients · unset to 551.0
      May 23, 2018 to Aug 23, 2018
    Signals
    7 dated events
    • Gerard Kurt Krumholz (Vice President) no longer on Schedule A of Sva Wealth Management, Llc (listed 2019-04-03, absent 2019-06-03)
      Jun 3, 2019 · Control person left · inference
    • Lee Kathryn Norton (Elected Manager) appeared on Schedule A of Sva Wealth Management, Llc
      Jun 3, 2019 · Control person joined · fact
    • G Joel Nettesheim (Elected Manager) appeared on Schedule A of Sva Wealth Management, Llc
      Jun 3, 2019 · Control person joined · fact
    • Guyan Daniel Gibson (Vice President) appeared on Schedule A of Sva Wealth Management, Llc
      Apr 1, 2019 · Control person joined · fact
    • Gerald Thomas Plumb (Elected Manager/Ceo) no longer on Schedule A of Sva Wealth Management, Llc (listed 2018-09-05, absent 2019-04-01)
      Apr 1, 2019 · Control person left · inference
    • Lee Kathryn Norton (Elected Manager) no longer on Schedule A of Sva Wealth Management, Llc (listed 2018-09-05, absent 2019-04-01)
      Apr 1, 2019 · Control person left · inference
    • Sva Plumb Wealth Management, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Nov 18, 2011 · Succession (Item 4) · fact
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026