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.

Former SEC-registered adviser

Advisors' Pride Inc.

Former SEC-registered adviserAppleton, WisconsinCRD 170669SEC 801-80479IAPD
Latest filing Sep 7, 2022
First filing on the tape Oct 9, 2014 · 29 filings
RAUM
$1.3B
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
87%
$1.1B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
32
27 advisory (5.B.1)
Offices
18
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$1.3B as of Feb 21, 2022
Mar 20, 2015$138M then
HNW client RAUM$239M as of Feb 21, 2022
Mar 23, 2018$93.1M then
State-registered IARs (5.B.3)32 as of Feb 21, 2022
Mar 20, 20156 then
Employees (5.A)32 as of Feb 21, 2022
Mar 20, 20156 then
Private funds: no history
RAUM +22% over the last fiscal year+25% a year over threeIARs 31 to 32offices 15 to 18
Practice profile
derived from the filing of Sep 7, 2022; every figure names its basis
RAUM per advisor
$40.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
143derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.8MderivedHNW RAUM over HNW clients
Average account
$209,114derivedRAUM over accounts (5.F.2.f)
Discretionary
90%derivedof RAUM
Institutional
11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.7derived19 offices incl. principal (1.F.5)
RAUM growth, one year
+22%derivedbetween the last two annual amendments
Advisor growth, one year
+3.2%derivedItem 5.B.3 between annual amendments
Client growth, one year
-18%derived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 5.G
Wrap fee program
$1.0BreportedItem 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)
  • compensates persons for client referrals (8.G.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$899M69%
  • High-net-worth individuals$239M18%
  • Charitable organizations$135M10%
  • Corporations and businesses$24.6M1.9%
  • Pension and profit-sharing plans$3.9M0.3%
Individual clients
4,442reported
HNW clients
134reported
Pension plan clients
8reported
Charitable clients
28reported
Accounts
6,222reported
Financial planning clients
26-50reported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Ann Jill Batley · Chief Compliance Officercontrol
    since 01/2022 · owns less than 5%
  • Houghton David Wood · Ownercontrol
    since 01/2022 · owns 25% to 50%
  • Dale Eric Hall · Owner, Financial Advisor And President
    since 02/2018 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • Van Wert, OH5 employees
  • Morris, MN2 employees
  • Madison, WI2 employees
  • Bluffton, IN1 employees
  • Delavan, WI1 employees
  • Eau Claire, WI1 employees
  • Fort Wayne, IN1 employees
  • Germantown, WI1 employees
  • Glastonbury, CT1 employees
  • Lakeville, MN1 employees
  • Menasha, WI1 employees
  • Rifle, CO1 employees
  • Washington, IL1 employees
  • Apple Valley, MN1 employees
  • , 1 employees
  • Appleton, WI1 employees
  • Batvia, IL1 employees
What changed
consecutive filings, newest first
  • Other offices · 17 to 18
    Mar 11, 2022 to Sep 7, 2022
  • Other offices · 16 to 17
    Feb 21, 2022 to Mar 11, 2022
  • Accounts · 5,623 to 6,222
    Sep 7, 2021 to Feb 21, 2022
  • Advisory employees · 26 to 27
    Sep 7, 2021 to Feb 21, 2022
  • BD registered reps · 29 to 32
    Sep 7, 2021 to Feb 21, 2022
  • Charity clients · 25 to 28
    Sep 7, 2021 to Feb 21, 2022
  • Corporate clients · 15 to 18
    Sep 7, 2021 to Feb 21, 2022
  • HNW clients · 115 to 134
    Sep 7, 2021 to Feb 21, 2022
  • Individual clients · 5,463 to 4,442
    Sep 7, 2021 to Feb 21, 2022
  • Pension plan clients · 5 to 8
    Sep 7, 2021 to Feb 21, 2022
  • Employees · 31 to 32
    Sep 7, 2021 to Feb 21, 2022
  • State-registered IARs · 31 to 32
    Sep 7, 2021 to Feb 21, 2022
  • Discretionary RAUM · $918M to $1.2B
    Sep 7, 2021 to Feb 21, 2022
  • HNW RAUM · $172M to $239M
    Sep 7, 2021 to Feb 21, 2022
  • Individual RAUM · $738M to $899M
    Sep 7, 2021 to Feb 21, 2022
  • Non-discretionary RAUM · $150M to $124M
    Sep 7, 2021 to Feb 21, 2022
  • Pension RAUM · $2.7M to $3.9M
    Sep 7, 2021 to Feb 21, 2022
  • RAUM · $1.1B to $1.3B
    Sep 7, 2021 to Feb 21, 2022
  • Other offices · 15 to 16
    Mar 12, 2021 to May 6, 2021
  • Accounts · 4,337 to 5,623
    Oct 16, 2020 to Mar 12, 2021
  • Advisory employees · 24 to 26
    Oct 16, 2020 to Mar 12, 2021
  • BD registered reps · 25 to 29
    Oct 16, 2020 to Mar 12, 2021
  • Charity clients · 24 to 25
    Oct 16, 2020 to Mar 12, 2021
  • HNW clients · 87 to 115
    Oct 16, 2020 to Mar 12, 2021
  • Individual clients · 3,305 to 5,463
    Oct 16, 2020 to Mar 12, 2021
  • Pension plan clients · 6 to 5
    Oct 16, 2020 to Mar 12, 2021
  • Employees · 27 to 31
    Oct 16, 2020 to Mar 12, 2021
  • State-registered IARs · 27 to 31
    Oct 16, 2020 to Mar 12, 2021
  • Other offices · 16 to 15
    Oct 16, 2020 to Mar 12, 2021
  • Discretionary RAUM · $695M to $918M
    Oct 16, 2020 to Mar 12, 2021
  • HNW RAUM · $134M to $172M
    Oct 16, 2020 to Mar 12, 2021
  • Individual RAUM · $585M to $738M
    Oct 16, 2020 to Mar 12, 2021
  • Non-discretionary RAUM · $153M to $150M
    Oct 16, 2020 to Mar 12, 2021
  • Pension RAUM · $1.9M to $2.7M
    Oct 16, 2020 to Mar 12, 2021
  • RAUM · $848M to $1.1B
    Oct 16, 2020 to Mar 12, 2021
  • Other offices · 15 to 16
    Jun 19, 2020 to Oct 16, 2020
  • Other offices · 16 to 15
    May 8, 2020 to Jun 19, 2020
  • Other offices · 15 to 16
    Mar 24, 2020 to May 8, 2020
  • Accounts · 3,939 to 4,337
    Jan 28, 2020 to Mar 24, 2020
  • Advisory employees · 19 to 24
    Jan 28, 2020 to Mar 24, 2020
Signals
18 dated events
  • 2 advisors left LPL Financial LLC (Fort Wayne, IN) for Advisors' Pride Inc. on the same day
    Oct 3, 2023 · Team lift-out · derived
  • Matthew Scott Grohocki left Advisors' Pride Inc. for Gateway Wealth Partners, Llc (registered 2022-10-06)
    Oct 25, 2022 · Advisor changed firm · fact
  • Ryan Thomas Stoller left Advisors' Pride Inc. for Gateway Wealth Partners, Llc (registered 2022-10-06)
    Oct 25, 2022 · Advisor changed firm · fact
  • Erin Nicole Laukhuf left Advisors' Pride Inc. for Gateway Wealth Partners, Llc (registered 2022-10-06)
    Oct 25, 2022 · Advisor changed firm · fact
  • David Houghton Wood left Advisors' Pride Inc. for Gateway Wealth Partners, Llc (registered 2022-10-06)
    Oct 25, 2022 · Advisor changed firm · fact
  • 2 advisors left Advisors' Pride Inc. (Glastonbury, CT) for Gateway Wealth Partners, LLC on the same day
    Oct 25, 2022 · Team lift-out · derived
  • 6 advisors left Advisors' Pride Inc. (Appleton, WI) for Gateway Wealth Partners, LLC on the same day
    Oct 25, 2022 · Team lift-out · derived
  • Erin Kae Gilbert left Advisors' Pride Inc. for Gateway Wealth Partners, Llc (registered 2022-10-06)
    Oct 25, 2022 · Advisor changed firm · fact
  • Timothy James Stoller left Advisors' Pride Inc. for Gateway Wealth Partners, Llc (registered 2022-10-06)
    Oct 25, 2022 · Advisor changed firm · fact
  • Seth David Gerber left Advisors' Pride Inc. for Gateway Wealth Partners, Llc (registered 2022-10-06)
    Oct 25, 2022 · Advisor changed firm · fact
  • Christopher Stephen Hoffman left Advisors' Pride Inc. for Cambridge Investment Research Advisors, Inc. (registered 2022-03-09)
    May 24, 2022 · Advisor changed firm · fact
  • Richard Paul Hoffman (Corporate Strategist And Chief Compliance Officer) no longer on Schedule A of Advisors' Pride Inc. (listed 2021-09-07, absent 2022-02-21)
    Feb 21, 2022 · Control person left · inference
  • Houghton David Wood (Owner) appeared on Schedule A of Advisors' Pride Inc.
    Feb 21, 2022 · Control person joined · fact
  • Ann Jill Batley (Chief Compliance Officer) appeared on Schedule A of Advisors' Pride Inc.
    Feb 21, 2022 · Control person joined · fact
  • Advisors' Pride Inc. reported RAUM $1.1B, up 26% from $848.0M (2020-10-16 to 2021-03-12)
    Mar 12, 2021 · RAUM change · derived
  • Advisors' Pride Inc. reported RAUM $848.0M, up 28% from $663.5M (2020-01-28 to 2020-03-24)
    Mar 24, 2020 · RAUM change · derived
  • Advisors' Pride Inc. reported RAUM $561.6M, up 69% from $331.5M (2017-08-07 to 2018-03-23)
    Mar 23, 2018 · RAUM change · derived
  • Advisors Pride filed its initial SEC registration (Form ADV)
    Oct 9, 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