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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Former SEC-registered adviser

B•••••••• I••••••••• C••••••• L••

Former SEC-registered adviserMadison, WisconsinCRD 160298SEC 801-73033IAPD
Latest filing Mar 30, 2018
First filing on the tape Jan 6, 2012 · 12 filings
RAUM
$125M
reported, Item 5.F
Discretionary
73%
of RAUM
Private clients
69%
$85.8M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$125M as of Mar 30, 2018
Apr 1, 2013$92.3M then
HNW client RAUM: $85.8M
State-registered IARs (5.B.3)3 as of Mar 30, 2018
Apr 1, 20130 then
Employees (5.A)4 as of Mar 30, 2018
Apr 1, 20136 then
Private funds3 as of Mar 30, 2015
Mar 28, 20143 then
RAUM -25% over the last fiscal year+2.2% a year over threeIARs 0 to 3
Practice profile
derived from the filing of Mar 30, 2018; every figure names its basis
RAUM per advisor
$41.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.7MderivedHNW RAUM over HNW clients
Average account
$768,753derivedRAUM over accounts (5.F.2.f)
Discretionary
73%derivedof RAUM
Institutional
28%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-25%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, 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)
  • 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$85.8M69%
  • Pension and profit-sharing plans$34.7M28%
  • Corporations and businesses$4.0M3.2%
Individual clients
n/areported
HNW clients
52reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
162reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      G••••••••• T••••••• I••••• F•••no longer reportedOther Private Fund$32.0M16Mar 28, 2014
      G••••••••• R••• E••••• D••••••••• F•••no longer reportedReal Estate Fund$4.8M5Mar 28, 2014
      G••••••••• M••••••••• F•••no longer reportedVenture Capital Fund$3.8M4Mar 28, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • H•••• M••••••• G•••••• · Managing Membercontrol
        since 06/2012 · owns 50% to 75%
      • H•••• P••••••• F•••••• · Managing Membercontrol
        since 06/2012 · owns 50% to 75%
      • K••••• L•••••• M•••• · Chief Compliance Officercontrol
        since 06/2012 · owns less than 5%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 203 to 162
        Mar 31, 2017 to Mar 30, 2018
      • HNW clients · unset to 52.0
        Mar 31, 2017 to Mar 30, 2018
      • Financial planning clients · 1-10 to 0
        Mar 31, 2017 to Mar 30, 2018
      • State-registered IARs · 0 to 3
        Mar 31, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Discretionary RAUM · $110M to $91.5M
        Mar 31, 2017 to Mar 30, 2018
      • HNW RAUM · unset to 85833483.0
        Mar 31, 2017 to Mar 30, 2018
      • Individual RAUM · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Non-discretionary RAUM · $56.3M to $33.1M
        Mar 31, 2017 to Mar 30, 2018
      • Pension RAUM · unset to 34744423.0
        Mar 31, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • RAUM · $166M to $125M
        Mar 31, 2017 to Mar 30, 2018
      • Accounts · 217 to 203
        Apr 1, 2016 to Mar 31, 2017
      • Advisory employees · 1 to 2
        Apr 1, 2016 to Mar 31, 2017
      • Employees · 3 to 4
        Apr 1, 2016 to Mar 31, 2017
      • State-registered IARs · 3 to 0
        Apr 1, 2016 to Mar 31, 2017
      • Discretionary RAUM · $97.0M to $110M
        Apr 1, 2016 to Mar 31, 2017
      • Non-discretionary RAUM · $48.3M to $56.3M
        Apr 1, 2016 to Mar 31, 2017
      • RAUM · $145M to $166M
        Apr 1, 2016 to Mar 31, 2017
      • Accounts · 119 to 217
        Mar 30, 2015 to Apr 1, 2016
      • Advisory employees · 2 to 1
        Mar 30, 2015 to Apr 1, 2016
      • Advisory activities · 5 to 6
        Mar 30, 2015 to Apr 1, 2016
      • Employees · 4 to 3
        Mar 30, 2015 to Apr 1, 2016
      • Private funds · 3 to unset
        Mar 30, 2015 to Apr 1, 2016
      • Discretionary RAUM · $20.8M to $97.0M
        Mar 30, 2015 to Apr 1, 2016
      • Non-discretionary RAUM · $95.8M to $48.3M
        Mar 30, 2015 to Apr 1, 2016
      • RAUM · $117M to $145M
        Mar 30, 2015 to Apr 1, 2016
      • Related adviser · false to true
        Mar 30, 2015 to Apr 1, 2016
      • Accounts · 184 to 119
        Mar 28, 2014 to Mar 30, 2015
      • BD registered reps · 0 to 1
        Mar 28, 2014 to Mar 30, 2015
      • Employees · 6 to 4
        Mar 28, 2014 to Mar 30, 2015
      • Discretionary RAUM · $70.2M to $20.8M
        Mar 28, 2014 to Mar 30, 2015
      • Non-discretionary RAUM · $39.1M to $95.8M
        Mar 28, 2014 to Mar 30, 2015
      • RAUM · $109M to $117M
        Mar 28, 2014 to Mar 30, 2015
      • Accounts · 153 to 184
        Dec 24, 2013 to Mar 28, 2014
      • State-registered IARs · 0 to 3
        Dec 24, 2013 to Mar 28, 2014
      • Private funds · unset to 3
        Dec 24, 2013 to Mar 28, 2014
      • Discretionary RAUM · $64.3M to $70.2M
        Dec 24, 2013 to Mar 28, 2014
      • Non-discretionary RAUM · $27.9M to $39.1M
        Dec 24, 2013 to Mar 28, 2014
      • RAUM · $92.3M to $109M
        Dec 24, 2013 to Mar 28, 2014
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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
      Across the graphs

      B•••••••• I••••••••• C••••••• L•• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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