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.
SEC-registered adviser
T. Anton Investment House, Inc.
Latest filing Mar 26, 2026
First filing on the tape Dec 1, 2016 · 19 filings
SEC status approved since Jan 3, 2017
RAUM
$367M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$367M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$122M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$367M as of Mar 26, 2026
Feb 26, 2018$134M then
HNW client RAUM$267M as of Mar 26, 2026
Feb 26, 2018$23.0M then
State-registered IARs (5.B.3)3 as of Mar 26, 2026
Feb 26, 20181 then
Employees (5.A)6 as of Mar 26, 2026
Feb 26, 20183 then
Private funds: no history
RAUM +10% over the last fiscal year+16% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- $122MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 109derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $411,496derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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$267M73%
- Individuals$99.3M27%
- Individual clients
- 203reported
- HNW clients
- 125reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 891reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Tracey Carol AntonCertified Financial Planner | Madison, Wi | Mar 13, 2015 | 31 y | 1 |
| Brenda Joyce Sims | Madison, Wi | Sep 5, 2020 | 17 y | 0 |
| Michael Ray SmithCertified Financial Planner | Madison, Wi | Jan 29, 2026 | 14 y | 3 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Katheryn Marie Lindquist to Lindenwood Financial LLCMay 17, 2023 · RIA to a state-registered adviser
- Erik Preston Barker to Jacobson & Schmitt Advisors, LLCMay 17, 2023 · RIA to RIA
Joined, latest
- Michael Ray Smith from Trustage Investment ManagementJan 29, 2026 · Other
- Katheryn Marie Lindquist from Central Wealth Management LLCMay 11, 2021 · RIA to RIA
- Tracey Carol Anton from Googins Advisors, Inc.Mar 13, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Carol Tracey Anton · President And Chief Compliance Officer 11.30.2016controlsince 01/2015 · 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 |
|---|---|---|---|---|---|
| Madison, Wi · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 869 to 891Feb 4, 2026 to Mar 26, 2026
- HNW clients · 117 to 125Feb 4, 2026 to Mar 26, 2026
- Individual clients · 218 to 203Feb 4, 2026 to Mar 26, 2026
- Discretionary RAUM · $332M to $367MFeb 4, 2026 to Mar 26, 2026
- HNW RAUM · $233M to $267MFeb 4, 2026 to Mar 26, 2026
- Individual RAUM · $98.6M to $99.3MFeb 4, 2026 to Mar 26, 2026
- RAUM · $332M to $367MFeb 4, 2026 to Mar 26, 2026
- Advisory employees · 2 to 3Nov 6, 2025 to Feb 4, 2026
- Employees · 4 to 6Nov 6, 2025 to Feb 4, 2026
- State-registered IARs · 2 to 3Nov 6, 2025 to Feb 4, 2026
- Accounts · 915 to 869Feb 7, 2025 to Mar 12, 2025
- HNW clients · 135 to 117Feb 7, 2025 to Mar 12, 2025
- Individual clients · 194 to 218Feb 7, 2025 to Mar 12, 2025
- Employees · 3 to 4Feb 7, 2025 to Mar 12, 2025
- Financial planning clients · 251-500 to 251-500Feb 7, 2025 to Mar 12, 2025
- Discretionary RAUM · $275M to $332MFeb 7, 2025 to Mar 12, 2025
- HNW RAUM · $215M to $233MFeb 7, 2025 to Mar 12, 2025
- Individual RAUM · $59.6M to $98.6MFeb 7, 2025 to Mar 12, 2025
- RAUM · $275M to $332MFeb 7, 2025 to Mar 12, 2025
- HQ city · MIDDLETON to MADISONFeb 9, 2024 to Feb 7, 2025
- Accounts · 869 to 915Mar 2, 2023 to Feb 9, 2024
- Advisory employees · 4 to 2Mar 2, 2023 to Feb 9, 2024
- HNW clients · 174 to 135Mar 2, 2023 to Feb 9, 2024
- Individual clients · 276 to 194Mar 2, 2023 to Feb 9, 2024
- Employees · 5 to 3Mar 2, 2023 to Feb 9, 2024
- State-registered IARs · 4 to 2Mar 2, 2023 to Feb 9, 2024
- Discretionary RAUM · $235M to $275MMar 2, 2023 to Feb 9, 2024
- HNW RAUM · $152M to $215MMar 2, 2023 to Feb 9, 2024
- Individual RAUM · $83.0M to $59.6MMar 2, 2023 to Feb 9, 2024
- RAUM · $235M to $275MMar 2, 2023 to Feb 9, 2024
- Accounts · 943 to 869Mar 30, 2022 to Mar 2, 2023
- Advisory employees · 1 to 4Mar 30, 2022 to Mar 2, 2023
- HNW clients · 210 to 174Mar 30, 2022 to Mar 2, 2023
- Individual clients · 277 to 276Mar 30, 2022 to Mar 2, 2023
- State-registered IARs · 1 to 4Mar 30, 2022 to Mar 2, 2023
- Discretionary RAUM · $277M to $235MMar 30, 2022 to Mar 2, 2023
- HNW RAUM · $208M to $152MMar 30, 2022 to Mar 2, 2023
- Individual RAUM · $68.6M to $83.0MMar 30, 2022 to Mar 2, 2023
- RAUM · $277M to $235MMar 30, 2022 to Mar 2, 2023
- Accounts · 894 to 943Oct 12, 2021 to Mar 30, 2022
Signals
3 dated events
- Erik Preston Barker left T. Anton Investment House, Inc. for Jacobson & Schmitt Advisors, Llc (registered 2023-05-23)May 17, 2023 · Advisor changed firm · fact
- Katheryn Marie Lindquist left T. Anton Investment House, Inc. for Lindenwood Financial Llc (registered 2023-08-16)May 17, 2023 · Advisor changed firm · fact
- T. Anton Investment House, Inc. filed its initial SEC registration (Form ADV)Dec 1, 2016 · 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 phone
- 608-501-1549reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- tantoninvestmenthouse.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 608-501-1549reportedpublic record, Form ADV, Mar 26, 2026
- Team page
- tantoninvestmenthouse.com/team.htmlreportedpublished by the firm, firm site, Sep 15, 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
- $122Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026