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
M•• F•••••••• A•••••••• I•••
Latest filing Jul 19, 2012
First filing on the tape Feb 24, 2012 · 4 filings
RAUM
$3.8B
reported, Item 5.F
Discretionary
66%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$3.8B as of Jul 19, 2012
Feb 24, 2012$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 19, 2012
Feb 24, 20120 then
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Jul 19, 2012; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $104,577derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 66%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, educational seminarsreportedItem 5.G
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 36,252reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
- S••••• M• J•••••••• to B•••••• L••• A••••••• S•••••••• I•••Aug 31, 2012 · Other
- A•••••• S••••••• R•••••• to B•••••• L••• A••••••• S•••••••• I•••Aug 31, 2012 · Other
- M•••••• M•••••••• to H••••••••• F•••••••• A•••••••Aug 31, 2012 · Other
- N•••• A••• S•••••• to C•••••• S••••• • C••• I•••Aug 17, 2012 · Other
- L••• F•••• B••••• to A••••••• F•••••••• A•••••••• L••Jul 18, 2012 · Other
- N••••••• E••••• H••• to S•• I••••••••• I•••Jul 12, 2012 · Other
- M•••• K•• M••••• to M•• I••••••••• M••••••••• C••••Mar 31, 2010 · Other
- L••• L••• R••••• to M•• I••••••••• M••••••••• C••••Mar 31, 2010 · Other
- P••••••• E••••••••• to R•••••• J•••• • A••••••••• I•••Mar 31, 2010 · Other
- P•••••• T••••••• M•••••• to M•• I••••••••• M••••••••• C••••Mar 31, 2010 · Other
- M•••• L••• A••••• to F•••• T•••• S••••••••• I•••Mar 31, 2010 · Other
- C••••• M•••• M•••• to N••••••••• M••••• I••••••••• S•••••••••Mar 31, 2010 · Other
- C••• L••• H•••••• to M•• I••••••••• M••••••••• C••••Mar 30, 2010 · Other
- P••• N••••••• B••••• to L•••••• S••••••••• I•••Mar 30, 2010 · Other
- D•••• T••••• to C•••• I••••••••• S••••••• C••••Mar 30, 2010 · Other
Joined, latest
- R••••• J• L•••• from U••• B•••••• I••••••••• I•••Jun 22, 2012 · Other
- D••••• J•••• M••••• from A••••••••• F•••••••• S•••••••• L••May 31, 2012 · Affiliated broker-dealer or bank to a newly registered adviser
- G•••••• V•••••••• from F•••• T•••• S••••••••• I•••May 8, 2012 · Other
- M•••••• M•••••••• from B•• H••••• F•••••••• A•••••••• I••May 1, 2012 · Other
- J••••• B•••••••• from B••• O•• S••••••••• C•••••••••Apr 26, 2012 · Other
- J••• W•••••• H••••••••• from U•• F•••••••• S••••••• I•••Apr 20, 2012 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- J••• D•••••• P••••••••• from O••••••••• S••••••••• I•••Apr 12, 2012 · Other
- S••••• M• J•••••••• from B•• H••••• F•••••••• A•••••••• I••Mar 23, 2012 · Other
- A•••••• S••••••• R•••••• from A••••• I••••••••• S•••••••• I••Mar 23, 2012 · Other
- M•••••• B•••• L••••• from V•••• F•••••••• A•••••••• I•••Dec 22, 2009 · Other
- S••••••• A•• T••••• from C••••• I••••••••• S••••••• L••Nov 12, 2009 · Other
- L•••••• L••••• L•••• from U•• F•••••••• S••••••• I•••Nov 9, 2009 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- P••• N••••••• B••••• from U••• B•••••• I••••••••• I•••Nov 4, 2009 · Other
- E••• A• D•••••• from M••••• S••••••Oct 16, 2009 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- A••• M• H••••• from J••• M••••• S••••••••• L••Oct 14, 2009 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••••• M•••••• · President, Ceocontrolsince 04/2012 · owns less than 5%
- C••••• W•••••• J••••• J• · Svp, Chief Financial Officer, Treasurer, Chief Operating Officersince 06/1994 · owns less than 5%
- F••••••••• R•••••• T••••• · Svp, Investment B•••Ingsince 06/2002 · owns less than 5%
- H••••••• R••••• W••• · Svp, Investment B•••Ing, Directorsince 01/2010 · owns less than 5%
- J••••••• C••••• C•••• · Rosfp, Vice Presidentsince 08/1987 · owns less than 5%
- K•••• K•••••• C•••••• · Director, Chairmansince 01/2005 · owns less than 5%
- R••••••• A•••••• S••••••• · Vice President & Chief Compliance Officersince 03/2012 · owns less than 5%
- U•••••••• D••• E••••• · Svp, National Sales Managersince 06/2007 · owns less than 5%
Entity owners
- B•• F•••••••• C••• · Parent Companydirect · owns 75% or more
- B••• O• M••••••• · Indirect Parent Corporationindirect · owns 75% or more of B•• F•••••••• C•••• · public reporting company
Related persons
Schedule D 7.A
- B••• O• M•••••••y
- B•• F•••••••• C••••y
- B•• H••••• B••• N•••n
- B•• H••••• F•••••••• A•••••••• I••broker-dealerinvestment adviserreal estatenRAUM $5.1B
- M•• D••••••••• L••broker-dealern
- M•• I••••••••• M••••••••• C••••investment advisernRAUM $22B
- M••••••• • I••••• T•••• C•••••• N•••n
Advisers that list M•• F•••••••• A•••••••• I••• as a related person
- 109802 n
Offices
Schedule D 1.F, the 25 largest
- Appleton, WI
- Janesville, WI
- Madison, WI
- Milwaukee, WI
- Wausau, WI
What changed
consecutive filings, newest first
- Accounts · 0 to 36,252May 2, 2012 to Jul 19, 2012
- Discretionary RAUM · $0 to $2.5BMay 2, 2012 to Jul 19, 2012
- Non-discretionary RAUM · $0 to $1.3BMay 2, 2012 to Jul 19, 2012
- RAUM · $0 to $3.8BMay 2, 2012 to Jul 19, 2012
Signals
No event on the tape.
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