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
F•••••• W••••• A•••••••
Legal name F•••••• W••••• A•••••••• L••
Latest filing Mar 7, 2023
First filing on the tape Mar 4, 2014 · 27 filings
RAUM
$280M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$275M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
8 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$280M as of Mar 7, 2023
Mar 17, 2015$191M then
HNW client RAUM$104M as of Mar 7, 2023
May 1, 2018$103M then
State-registered IARs (5.B.3)8 as of Mar 7, 2023
Mar 17, 20150 then
Employees (5.A)12 as of Mar 7, 2023
Mar 17, 20159 then
Private funds: no history
RAUM -13% over the last fiscal year+0.5% a year over threeIARs 10 to 8offices 3 to 4
Practice profile
derived from the filing of Mar 7, 2023; every figure names its basis
- RAUM per advisor
- $35.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 88derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $173,472derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.6derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- -13%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $176MreportedItem 5.I
- 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
- Individuals$171M61%
- High-net-worth individuals$104M37%
- Pension and profit-sharing plans$3.9M1.4%
- Charitable organizations$817,0300.3%
- Individual clients
- 631reported
- HNW clients
- 76reported
- Pension plan clients
- 2reported
- Charitable clients
- 2reported
- Accounts
- 1,613reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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•••• E••••• T••••• to I••••• F••••••••Dec 12, 2023 · RIA to RIA
- K••• R•••••• R••••• to I••••• F••••••••Dec 12, 2023 · RIA to RIA
- C•••••• H••••• K•••• to I••••• F••••••••Dec 12, 2023 · RIA to RIA
- S•••••• F•••••• S•••• to I••••• F••••••••Dec 12, 2023 · RIA to RIA
- T••••• S•••• R•••••• to I••••• F••••••••Dec 12, 2023 · RIA to RIA
- G••••• S••••••• to I••••• F••••••••Dec 12, 2023 · RIA to RIA
- D••••• J••• L••••••• to I••••• F••••••••Dec 12, 2023 · RIA to RIA
- A••••• L•• Z••••••• to B•••••••• A•••• M••••••••• L••Aug 15, 2023 · RIA to RIA
- E••• J• K••••••• to I••••• F••••••••Aug 3, 2023 · RIA to RIA
- R••••• M•••••• B••••• to B•••••••• A•••• M••••••••• L••Sep 30, 2022 · RIA to RIA
- T••••• F• W•••••• to B•••••••• A•••• M••••••••• L••Sep 30, 2022 · RIA to RIA
- W•••••• B•••• M••• to B•••••••• A•••• M••••••••• L••Sep 30, 2022 · RIA to RIA
- J••• E• W•••••• to B•••••••• A•••• M••••••••• L••Sep 30, 2022 · RIA to RIA
- J••• J••••• C••••••• to B•••••••• A•••• M••••••••• L••Sep 30, 2022 · RIA to RIA
- S•••• P••• H•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Feb 26, 2021 · RIA to affiliated broker-dealer or bank
Joined, latest
- J••• E• W•••••• from S•••••••• F••••••••• I•••Feb 24, 2022 · Affiliated broker-dealer or bank to independent RIA
- T••••• F• W•••••• from S•••••••• F••••••••• I•••Feb 24, 2022 · Affiliated broker-dealer or bank to independent RIA
- R••••• M•••••• B••••• from S•••••••• F••••••••• I•••Feb 22, 2022 · Affiliated broker-dealer or bank to independent RIA
- W•••••• B•••• M••• from S•••••••• F••••••••• I•••Feb 22, 2022 · Affiliated broker-dealer or bank to independent RIA
- J••• J••••• C••••••• from S•••••••• F••••••••• I•••Feb 22, 2022 · Affiliated broker-dealer or bank to independent RIA
- G••••• S••••••• from N••••••••• M••••• I••••••••• S•••••••••Aug 6, 2019 · Other
- M•• C••••• F••••••• from L•• F•••••••• L••Sep 4, 2018 · RIA to RIA
- S•••• E••••• T••••• from F•• S••••••••• C•••••••••Jul 31, 2018 · Affiliated broker-dealer or bank to independent RIA
- C•••••• H••••• K•••• from E••••• J••••Aug 12, 2016 · Other
- E••• J• K••••••• from R••••• W• B•••• • C•• I•••••••••Jun 2, 2016 · Other
- A••••• L•• Z••••••• from N•••••• F•••••••• G••••• I•••Sep 30, 2014 · Other
- D••••• J••• L••••••• from N•••••• F•••••••• G••••• I•••Sep 30, 2014 · Other
- S•••••• F•••••• S•••• from W•••• F•••• A•••••••May 16, 2014 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- K••• R•••••• R••••• from W•••• F•••• A•••••••May 15, 2014 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- S•••• P••• H•••••• from W•••• F•••• A•••••••May 15, 2014 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 6 left for I••••• F••••••••Dec 12, 2023 · Brookfield, Wi · Firm absorbed
- 5 left for B•••••••• A•••• M••••••••• L••Sep 30, 2022 · Brookfield, Wi
- 5 joined from S•••••••• F••••••••• I•••Feb 24, 2022 · Milwaukee, Wi
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••••• K•••• R•••••• · President / Ccocontrolsince 02/2014 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Brookfield, Wi · principal | 0 | 0 | 0 | ||
| Venice, Fl | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Franklin, WI2 employees
- , 2 employees
What changed
consecutive filings, newest first
- Accounts · 1,542 to 1,613Sep 27, 2022 to Mar 7, 2023
- Advisory employees · 9 to 8Sep 27, 2022 to Mar 7, 2023
- BD registered reps · 13 to 12Sep 27, 2022 to Mar 7, 2023
- HNW clients · 73 to 76Sep 27, 2022 to Mar 7, 2023
- Individual clients · 613 to 631Sep 27, 2022 to Mar 7, 2023
- Pension plan clients · 3 to 2Sep 27, 2022 to Mar 7, 2023
- Employees · 13 to 12Sep 27, 2022 to Mar 7, 2023
- Financial planning clients · 0 to 1-10Sep 27, 2022 to Mar 7, 2023
- State-registered IARs · 10 to 8Sep 27, 2022 to Mar 7, 2023
- Other offices · 3 to 4Sep 27, 2022 to Mar 7, 2023
- Discretionary RAUM · $319M to $279MSep 27, 2022 to Mar 7, 2023
- HNW RAUM · $117M to $104MSep 27, 2022 to Mar 7, 2023
- Individual RAUM · $198M to $171MSep 27, 2022 to Mar 7, 2023
- Non-discretionary RAUM · $1.2M to $1.1MSep 27, 2022 to Mar 7, 2023
- Pension RAUM · $5.1M to $3.9MSep 27, 2022 to Mar 7, 2023
- RAUM · $320M to $280MSep 27, 2022 to Mar 7, 2023
- Wrap assets (manager) · $225M to $0Sep 27, 2022 to Mar 7, 2023
- Wrap assets (sponsor) · $13,945 to $0Sep 27, 2022 to Mar 7, 2023
- Accounts · 1,555 to 1,542Aug 30, 2021 to Feb 22, 2022
- BD registered reps · 14 to 13Aug 30, 2021 to Feb 22, 2022
- HNW clients · 82 to 73Aug 30, 2021 to Feb 22, 2022
- Individual clients · 633 to 613Aug 30, 2021 to Feb 22, 2022
- Employees · 14 to 13Aug 30, 2021 to Feb 22, 2022
- Financial planning clients · 1-10 to 0Aug 30, 2021 to Feb 22, 2022
- Other offices · 2 to 3Aug 30, 2021 to Feb 22, 2022
- Discretionary RAUM · $287M to $319MAug 30, 2021 to Feb 22, 2022
- HNW RAUM · $110M to $117MAug 30, 2021 to Feb 22, 2022
- Individual RAUM · $175M to $198MAug 30, 2021 to Feb 22, 2022
- Non-discretionary RAUM · $2.6M to $1.2MAug 30, 2021 to Feb 22, 2022
- Pension RAUM · $4.5M to $5.1MAug 30, 2021 to Feb 22, 2022
- RAUM · $290M to $320MAug 30, 2021 to Feb 22, 2022
- Wrap assets (manager) · $206M to $225MAug 30, 2021 to Feb 22, 2022
- Wrap assets (sponsor) · $0 to $13,945Aug 30, 2021 to Feb 22, 2022
- Other offices · 3 to 2Aug 9, 2021 to Aug 19, 2021
- Other offices · 2 to 3Mar 24, 2021 to Mar 26, 2021
- Accounts · 1,476 to 1,555Jun 17, 2020 to Mar 24, 2021
- Advisory employees · 10 to 9Jun 17, 2020 to Mar 24, 2021
- Advisory activities · 2 to 5Jun 17, 2020 to Mar 24, 2021
- HNW clients · 84 to 82Jun 17, 2020 to Mar 24, 2021
- Individual clients · 591 to 633Jun 17, 2020 to Mar 24, 2021
Signals
19 dated events
- T••••• S•••• R•••••• left F•••••• W••••• A••••••• for I••••• F•••••••• (registered 2025-10-16)Dec 12, 2023 · Advisor changed firm · fact
- S•••• E••••• T••••• left F•••••• W••••• A••••••• for I••••• F•••••••• (registered 2023-11-13)Dec 12, 2023 · Advisor changed firm · fact
- K••• R•••••• R••••• left F•••••• W••••• A••••••• for I••••• F•••••••• (registered 2023-11-28)Dec 12, 2023 · Advisor changed firm · fact
- D••••• J••• L••••••• left F•••••• W••••• A••••••• for I••••• F•••••••• (registered 2023-11-13)Dec 12, 2023 · Advisor changed firm · fact
- G••••• S••••••• left F•••••• W••••• A••••••• for I••••• F•••••••• (registered 2023-11-13)Dec 12, 2023 · Advisor changed firm · fact
- C•••••• H••••• K•••• left F•••••• W••••• A••••••• for I••••• F•••••••• (registered 2023-11-28)Dec 12, 2023 · Advisor changed firm · fact
- S•••••• F•••••• S•••• left F•••••• W••••• A••••••• for I••••• F•••••••• (registered 2023-11-28)Dec 12, 2023 · Advisor changed firm · fact
- F•••••• W••••• A•••••••'s advisors moved to I••••• F•••••••• (Brookfield, WI): 6 of 7 registered, on the same dayDec 12, 2023 · Firm absorbed (people side) · derived
- A••••• L•• Z••••••• left F•••••• W••••• A••••••• for B•••••••• A•••• M••••••••• L•• (registered 2023-08-09)Aug 15, 2023 · Advisor changed firm · fact
- E••• J• K••••••• left F•••••• W••••• A••••••• for I••••• F•••••••• (registered 2024-02-27)Aug 3, 2023 · Advisor changed firm · fact
- J••• E• W•••••• left F•••••• W••••• A••••••• for B•••••••• A•••• M••••••••• L•• (registered 2022-09-20)Sep 30, 2022 · Advisor changed firm · fact
- J••• J••••• C••••••• left F•••••• W••••• A••••••• for B•••••••• A•••• M••••••••• L•• (registered 2022-09-19)Sep 30, 2022 · Advisor changed firm · fact
- W•••••• B•••• M••• left F•••••• W••••• A••••••• for B•••••••• A•••• M••••••••• L•• (registered 2022-09-19)Sep 30, 2022 · Advisor changed firm · fact
- R••••• M•••••• B••••• left F•••••• W••••• A••••••• for B•••••••• A•••• M••••••••• L•• (registered 2022-09-19)Sep 30, 2022 · Advisor changed firm · fact
- T••••• F• W•••••• left F•••••• W••••• A••••••• for B•••••••• A•••• M••••••••• L•• (registered 2022-09-22)Sep 30, 2022 · Advisor changed firm · fact
- 5 advisors left F•••••• W••••• A••••••• (Brookfield, WI) for B•••••••• A•••• M••••••••• L•• on the same daySep 30, 2022 · Team lift-out · derived
- 5 advisors left S•••••••• F••••••••• I••• (Milwaukee, WI) for F•••••• W••••• A••••••• on the same dayFeb 24, 2022 · Team lift-out · derived
- F•••••• W••••• A••••••• reported 10 state-registered advisory representatives, up from 0 (2019-03-19 to 2020-03-17)Mar 17, 2020 · Advisor headcount change · derived
- F•••••• W••••• A••••••• filed its initial SEC registration (Form ADV)Mar 4, 2014 · 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