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••••• H••••• I••••••••• A•••••••• L••
Latest filing Mar 11, 2026
First filing on the tape Feb 19, 2015 · 24 filings
SEC status approved since Feb 26, 2015
RAUM
$805M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$748M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$134M
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$805M as of Mar 11, 2026
Feb 29, 2016$125M then
HNW client RAUM$700M as of Mar 11, 2026
Jan 6, 2018$291M then
State-registered IARs (5.B.3)6 as of Mar 11, 2026
Feb 29, 20161 then
Employees (5.A)6 as of Mar 11, 2026
Feb 29, 20161 then
Private funds: no history
RAUM +21% over the last fiscal year+20% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 11, 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
- RAUM per advisor
- $134MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.8MderivedHNW RAUM over HNW clients
- Average account
- $3.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.7%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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$700M87%
- Individuals$48.0M6.0%
- Pension and profit-sharing plans$40.0M5.0%
- Corporations and businesses$12.0M1.5%
- Charitable organizations$5.0M0.6%
- Individual clients
- 106reported
- HNW clients
- 120reported
- Pension plan clients
- 14reported
- Charitable clients
- 2reported
- Accounts
- 250reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• N••••••• H••••••Certified Financial Planner | Appleton, Wi | Jan 2, 2014 | 27 y | 2 |
| A•• J•••••• S••••• | Appleton, Wi | Jun 10, 2016 | 34 y | 1 |
| J•••• L•••••• N•••••Certified Financial Planner | Appleton, Wi | Jan 16, 2019 | 20 y | 2 |
| R•••• G•••••• M••••• | Appleton, Wi | Jan 16, 2019 | 13 y | 1 |
| R••••• J••••• M•••• | Appleton, Wi | Sep 29, 2023 | 13 y | 2 |
| M•••••• R•• H••••••Certified Financial Planner | Appleton, Wi | Oct 8, 2024 | 13 y | 0 |
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
Joined, latest
- R••••• J••••• M•••• from N•••••• W••••• M•••••••••Sep 29, 2023 · RIA to RIA
- J•••• L•••••• N••••• from K••••••••• W••••• M••••••••• L••Jan 16, 2019 · RIA to RIA
- R•••• G•••••• M••••• from K••••••••• W••••• M••••••••• L••Jan 16, 2019 · RIA to RIA
- A•• J•••••• S••••• from B•••• T•••• I••••••••• A•••••••Jun 10, 2016 · Other
- S••••• N••••••• H•••••• from B•••• T•••• I••••••••• A•••••••Jan 2, 2014 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from K••••••••• W••••• M••••••••• L••Dec 20, 2018 · Appleton, Wi
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••• S•••••• N••••••• · President, Member, Ccocontrolsince 12/2013 · owns 25% to 50%
- M••••• R•••••• J••••• · Partner, Membercontrolsince 09/2023 · owns 10% to 25%
- G•••••• M•••••• R•••• · Partner, Membersince 07/2019 · owns 10% to 25%
- N•••••• J••••• L•••••• · Partner, Membersince 07/2019 · owns 10% to 25%
- S•••••• A••• J•••••• · Partner, Membersince 05/2016 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Appleton, Wi · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Green Bay, WI1 employees
What changed
consecutive filings, newest first
- Accounts · 228 to 250Jan 30, 2025 to Mar 11, 2026
- Advisory activities · 4 to 3Jan 30, 2025 to Mar 11, 2026
- Charity clients · unset to 2.0Jan 30, 2025 to Mar 11, 2026
- Corporate clients · 10 to 8Jan 30, 2025 to Mar 11, 2026
- HNW clients · 150 to 120Jan 30, 2025 to Mar 11, 2026
- Individual clients · 56 to 106Jan 30, 2025 to Mar 11, 2026
- Pension plan clients · 12 to 14Jan 30, 2025 to Mar 11, 2026
- Discretionary RAUM · $665M to $805MJan 30, 2025 to Mar 11, 2026
- HNW RAUM · $604M to $700MJan 30, 2025 to Mar 11, 2026
- Individual RAUM · $10.0M to $48.0MJan 30, 2025 to Mar 11, 2026
- Pension RAUM · $30.0M to $40.0MJan 30, 2025 to Mar 11, 2026
- RAUM · $665M to $805MJan 30, 2025 to Mar 11, 2026
- Accounts · 220 to 228Dec 19, 2024 to Jan 30, 2025
- HNW clients · 148 to 150Dec 19, 2024 to Jan 30, 2025
- Individual clients · 50 to 56Dec 19, 2024 to Jan 30, 2025
- Financial planning clients · 11-25 to 11-25Dec 19, 2024 to Jan 30, 2025
- Discretionary RAUM · $574M to $665MDec 19, 2024 to Jan 30, 2025
- HNW RAUM · $526M to $604MDec 19, 2024 to Jan 30, 2025
- Individual RAUM · $18.0M to $10.0MDec 19, 2024 to Jan 30, 2025
- Non-discretionary RAUM · $1.0M to $0Dec 19, 2024 to Jan 30, 2025
- Pension RAUM · $20.0M to $30.0MDec 19, 2024 to Jan 30, 2025
- RAUM · $575M to $665MDec 19, 2024 to Jan 30, 2025
- Advisory employees · 5 to 6Mar 21, 2024 to Oct 2, 2024
- Employees · 5 to 6Mar 21, 2024 to Oct 2, 2024
- State-registered IARs · 5 to 6Mar 21, 2024 to Oct 2, 2024
- Accounts · 229 to 220Oct 24, 2023 to Mar 15, 2024
- HNW clients · 163 to 148Oct 24, 2023 to Mar 15, 2024
- Individual clients · 53 to 50Oct 24, 2023 to Mar 15, 2024
- Discretionary RAUM · $485M to $574MOct 24, 2023 to Mar 15, 2024
- HNW RAUM · $452M to $526MOct 24, 2023 to Mar 15, 2024
- Individual RAUM · $15.0M to $18.0MOct 24, 2023 to Mar 15, 2024
- Non-discretionary RAUM · $19.0M to $1.0MOct 24, 2023 to Mar 15, 2024
- Pension RAUM · $19.0M to $20.0MOct 24, 2023 to Mar 15, 2024
- RAUM · $504M to $575MOct 24, 2023 to Mar 15, 2024
- Advisory employees · 4 to 5Jan 25, 2023 to Oct 24, 2023
- HNW clients · 162 to 163Jan 25, 2023 to Oct 24, 2023
- Individual clients · 52 to 53Jan 25, 2023 to Oct 24, 2023
- Pension plan clients · 5 to 12Jan 25, 2023 to Oct 24, 2023
- Employees · 4 to 5Jan 25, 2023 to Oct 24, 2023
- State-registered IARs · 4 to 5Jan 25, 2023 to Oct 24, 2023
Signals
2 dated events
- Joseph Robert Moore (Partner, Member) appeared on Schedule A of C••••• H••••• I••••••••• A•••••••• L••Oct 24, 2023 · Control person joined · fact
- C••••• H••••• I••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Feb 19, 2015 · 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
- Business email
- julie.anderson@copperharbor.usreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- ramon.mateos@copperharbor.usreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 920-441-0267reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 920-441-0268reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 920-441-0300reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (920)441-0300reportedpublic record, Form ADV, Mar 11, 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
- $134Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026