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
C••••••••• F•••••••• A•••••••• L••
Latest filing Jan 15, 2026
First filing on the tape Feb 10, 2022 · 11 filings
SEC status approved since Apr 19, 2022
RAUM
$190M
reported, Item 5.F
Discretionary
75%
of RAUM
Private clients
87%
$165M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$190M
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$190M as of Jan 15, 2026
Jan 17, 2023$117M then
HNW client RAUM$106M as of Jan 15, 2026
Jan 17, 2023$31.5M then
State-registered IARs (5.B.3)1 as of Jan 15, 2026
Jan 17, 20233 then
Employees (5.A)4 as of Jan 15, 2026
Jan 17, 20233 then
Private funds: no history
RAUM +16% over the last fiscal year+17% a year over threeIARs 3 to 1offices 2 to 0
Practice profile
derived from the filing of Jan 15, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $190MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 419derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $244,100derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 75%derivedof RAUM
- Institutional
- 6.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- -67%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -5.8%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
- Wrap fee program
- $143MreportedItem 5.I
- Custody
- $190M, 427 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$106M56%
- Individuals$58.7M31%
- Corporations and businesses$12.6M6.6%
- Pension and profit-sharing plans$12.5M6.6%
- Individual clients
- 347reported
- HNW clients
- 72reported
- Pension plan clients
- 7reported
- Charitable clients
- 0reported
- Accounts
- 778reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $190M for 427 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.87 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••• L•• N••••••Certified Financial Planner | Appleton, Wi | May 23, 2013 | 25 y | 2 |
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
- R••••• D•••• P••••• to M•• F•••••••• S•••••••• I•••Aug 3, 2017 · Other
Joined, latest
- A••• D•••• G••••• from K•• F•••••••• G•••• O• J••••••••• I•••Jan 3, 2023 · Other
- G••• T• B•••••• from K•• F•••••••• G•••• O• J••••••••• I•••Jan 3, 2023 · Other
- R••••• D•••• P••••• from C••• F•••••••• S•••••••• L•••Jul 20, 2015 · Other
- C••• L•• N•••••• from C••••••••• I••••••••• A•••••••• I•••May 23, 2013 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from K•• F•••••••• G•••• O• J••••••••• I•••Dec 31, 2021 · J•••••••••, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N••••••• C•••• L•• · Member And Chief Compliance Officercontrolsince 05/2011 · owns 75% or more
Related persons
Schedule D 7.A
- C••••••••• F•••••••• P•••••••• I••real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Appleton, Wi · principal | 1 | 0 | 2 |
Offices
Schedule D 1.F, the 25 largest
- Greenbay, WI2 employees
- St. Augustine, FL1 employees
What changed
consecutive filings, newest first
- Accounts · 713 to 778Jan 13, 2025 to Jan 15, 2026
- Advisory employees · 3 to 1Jan 13, 2025 to Jan 15, 2026
- Charity clients · unset to 0.0Jan 13, 2025 to Jan 15, 2026
- HNW clients · 33 to 72Jan 13, 2025 to Jan 15, 2026
- Individual clients · 412 to 347Jan 13, 2025 to Jan 15, 2026
- Assets in custody · $122M to $190MJan 13, 2025 to Jan 15, 2026
- Employees · 5 to 4Jan 13, 2025 to Jan 15, 2026
- Insurance-licensed employees · 3 to 0Jan 13, 2025 to Jan 15, 2026
- State-registered IARs · 3 to 1Jan 13, 2025 to Jan 15, 2026
- Other offices · 2 to 0Jan 13, 2025 to Jan 15, 2026
- Discretionary RAUM · $122M to $143MJan 13, 2025 to Jan 15, 2026
- HNW RAUM · $73.3M to $106MJan 13, 2025 to Jan 15, 2026
- Individual RAUM · $66.9M to $58.7MJan 13, 2025 to Jan 15, 2026
- Non-discretionary RAUM · $41.1M to $46.8MJan 13, 2025 to Jan 15, 2026
- Pension RAUM · $22.4M to $12.5MJan 13, 2025 to Jan 15, 2026
- RAUM · $164M to $190MJan 13, 2025 to Jan 15, 2026
- Accounts · 720 to 713Apr 15, 2024 to Jan 13, 2025
- Charity clients · 1.0 to unsetApr 15, 2024 to Jan 13, 2025
- Corporate clients · 1.0 to unsetApr 15, 2024 to Jan 13, 2025
- HNW clients · 23 to 33Apr 15, 2024 to Jan 13, 2025
- Individual clients · 471 to 412Apr 15, 2024 to Jan 13, 2025
- Pension plan clients · 6 to 7Apr 15, 2024 to Jan 13, 2025
- Assets in custody · $93.0M to $122MApr 15, 2024 to Jan 13, 2025
- Financial planning clients · 1-10 to 1-10Apr 15, 2024 to Jan 13, 2025
- Discretionary RAUM · $107M to $122MApr 15, 2024 to Jan 13, 2025
- HNW RAUM · $46.5M to $73.3MApr 15, 2024 to Jan 13, 2025
- Individual RAUM · $73.6M to $66.9MApr 15, 2024 to Jan 13, 2025
- Non-discretionary RAUM · $31.4M to $41.1MApr 15, 2024 to Jan 13, 2025
- Pension RAUM · $17.3M to $22.4MApr 15, 2024 to Jan 13, 2025
- RAUM · $138M to $164MApr 15, 2024 to Jan 13, 2025
- Insurance-licensed employees · 0 to 3Jan 11, 2024 to Apr 15, 2024
- Other offices · 1 to 2Jan 11, 2024 to Apr 15, 2024
- Accounts · 1,096 to 720Sep 28, 2023 to Jan 11, 2024
- HNW clients · 13 to 23Sep 28, 2023 to Jan 11, 2024
- Individual clients · 442 to 471Sep 28, 2023 to Jan 11, 2024
- Pension plan clients · 5 to 6Sep 28, 2023 to Jan 11, 2024
- Assets in custody · unset to 92968317.0Sep 28, 2023 to Jan 11, 2024
- Custody of client assets · false to trueSep 28, 2023 to Jan 11, 2024
- Employees · 3 to 5Sep 28, 2023 to Jan 11, 2024
- Financial planning clients · 11-25 to 1-10Sep 28, 2023 to Jan 11, 2024
Signals
3 dated events
- G••• T• B•••••• no longer registered at C••••••••• F•••••••• A•••••••• L••; no later IA registration on IAPDJan 14, 2026 · Advisor departure · fact
- A••• D•••• G••••• no longer registered at C••••••••• F•••••••• A•••••••• L••; no later IA registration on IAPDJan 14, 2026 · Advisor departure · fact
- C••••••••• F•••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Feb 10, 2022 · 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/conceptual-financial-planning-inc.reportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 920-731-9500reportedpublic record, Form ADV, Jan 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
- $190Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026