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•••• K•••••• G••••• L••

Former SEC-registered adviserMilwaukee, WisconsinCRD 168821SEC 801-78774IAPD
Latest filing Mar 23, 2016
First filing on the tape Oct 30, 2013 · 8 filings
RAUM
$34.0M
reported, Item 5.F
Discretionary
100%
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
4
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$34.0M as of Mar 23, 2016
Mar 28, 2014$28.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 23, 2016
Mar 28, 20144 then
Employees (5.A)4 as of Mar 23, 2016
Mar 28, 20149 then
Private funds: no history
RAUM -18% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Mar 23, 2016; every figure names its basis
RAUM per advisor
$11.3MderivedRAUM 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
$34.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-18%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 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)
  • 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
1reported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • H•••••• D•••••• J••• · Treasurercontrol
      since 07/2013 · owns less than 5%
    • M•••••• W••••••• W••••• · Directorcontrol
      since 10/2015 · owns less than 5%
    • R•••• R•••• W••••• · Director And Presidentcontrol
      since 07/2013 · owns less than 5%
    • W••••• C••••••• M•••••• · Chief Compliance Officer & Secretarycontrol
      since 07/2013 · owns less than 5%
    Entity owners
    • B•••• F•••••••• C••••••••• · Member
      direct · owns 75% or more
    • B•••• F•••••••• G••••• I••• · Shareholder
      indirect · owns 75% or more of B•••• H•••••• C••••••
    • B•••• H•••••• C•••••• · Shareholder
      indirect · owns 75% or more of B•••• F•••••••• C•••••••••
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    • ,
    What changed
    consecutive filings, newest first
    • Accounts · 6 to 1
      Oct 13, 2015 to Mar 23, 2016
    • Advisory employees · 3 to 1
      Oct 13, 2015 to Mar 23, 2016
    • Advisory activities · 4 to 1
      Oct 13, 2015 to Mar 23, 2016
    • BD registered reps · 6 to 3
      Oct 13, 2015 to Mar 23, 2016
    • Employees · 9 to 4
      Oct 13, 2015 to Mar 23, 2016
    • Discretionary RAUM · $41.6M to $34.0M
      Oct 13, 2015 to Mar 23, 2016
    • RAUM · $41.6M to $34.0M
      Oct 13, 2015 to Mar 23, 2016
    • Related bank · false to true
      Oct 13, 2015 to Mar 23, 2016
    • Accounts · 1 to 6
      Mar 2, 2015 to Mar 31, 2015
    • Advisory employees · 4 to 3
      Mar 2, 2015 to Mar 31, 2015
    • Insurance-licensed employees · 3 to 2
      Mar 2, 2015 to Mar 31, 2015
    • State-registered IARs · 4 to 3
      Mar 2, 2015 to Mar 31, 2015
    • Discretionary RAUM · $28.2M to $41.6M
      Mar 2, 2015 to Mar 31, 2015
    • RAUM · $28.2M to $41.6M
      Mar 2, 2015 to Mar 31, 2015
    • Accounts · unset to 1.0
      Nov 11, 2013 to Mar 28, 2014
    • Advisory employees · 5 to 4
      Nov 11, 2013 to Mar 28, 2014
    • Advisory activities · 3 to 4
      Nov 11, 2013 to Mar 28, 2014
    • State-registered IARs · 6 to 4
      Nov 11, 2013 to Mar 28, 2014
    • Discretionary RAUM · unset to 28200209.0
      Nov 11, 2013 to Mar 28, 2014
    • Non-discretionary RAUM · unset to 0.0
      Nov 11, 2013 to Mar 28, 2014
    • RAUM · unset to 28200209.0
      Nov 11, 2013 to Mar 28, 2014
    Signals
    1 dated events
    • B•••• K•••••• G••••• L•• filed its initial SEC registration (Form ADV)
      Oct 30, 2013 · 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.
    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