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

Y••••• W••••• M••••••••• L••

Independent wealth managerMadison, WisconsinCRD 168325SEC 801-135019websiteIAPD
Latest filing Mar 13, 2026
First filing on the tape Nov 21, 2025 · 2 filings
SEC status approved since Jan 5, 2026
RAUM
$112M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$112M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$56.0M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$112M as of Mar 13, 2026
Nov 21, 2025$107M then
HNW client RAUM$107M as of Mar 13, 2026
Nov 21, 2025$100M then
State-registered IARs (5.B.3)2 as of Mar 13, 2026
Nov 21, 20252 then
Employees (5.A)2 as of Mar 13, 2026
Nov 21, 20252 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 13, 2026; every figure names its basis
Archetypes, each a printed rule
  • 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
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$56.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
32derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.2MderivedHNW RAUM over HNW clients
Average account
$395,932derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 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 assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$107M95%
  • Individuals$5.5M4.9%
Individual clients
15reported
HNW clients
48reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
283reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
L•••••• W••••••• B••••Certified Financial PlannerMadison, WiSep 9, 201320 y4
A••••• J• C••••Certified Financial PlannerMadison, WiMay 10, 201815 y0
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
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • C••••• A•••••• J• · Partner, Wealth Advisorcontrol
      since 07/2021 · owns 25% to 50%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Madison, Wi · principal200
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 274 to 283
      Nov 21, 2025 to Mar 13, 2026
    • HNW clients · 45 to 48
      Nov 21, 2025 to Mar 13, 2026
    • Individual clients · 17 to 15
      Nov 21, 2025 to Mar 13, 2026
    • Discretionary RAUM · $107M to $112M
      Nov 21, 2025 to Mar 13, 2026
    • HNW RAUM · $100M to $107M
      Nov 21, 2025 to Mar 13, 2026
    • Individual RAUM · $7.0M to $5.5M
      Nov 21, 2025 to Mar 13, 2026
    • RAUM · $107M to $112M
      Nov 21, 2025 to Mar 13, 2026
    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.
    How to reach
    public business contact points only, each with its source
    Firm profile
    H•••S://WWW.LINKEDIN.COM/COMPANY/3329580reportedpublic record, Form ADV, Sep 18, 2026
    Website
    erdocfinance.comreportedpublic record, Form ADV, Sep 18, 2026
    Principal office phone
    608-467-1010reportedpublic record, Form ADV, Mar 13, 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
    $56.0Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026