DFX Intelligence

RIA Intelligence

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SEC-registered adviser

H•••••• I••••••••• I•••

Independent wealth managerMadison, WisconsinCRD 19258SEC 801-29185website IAPD

Latest filing Sep 18, 2026

First filing on the tape Jan 12, 2012 · 1,169 filings

SEC status approved since Apr 10, 1987

RAUM

$9.6B

reported, Item 5.F

Discretionary

79%

of RAUM

Private clients

96%

$9.2B individuals and HNW

Advisors

247

registered through the firm on IAPD

RAUM per advisor

$38.9M

derived; firm RAUM over IAPD count

Employees

232

213 advisory (5.B.1)

Offices

137

beyond the principal office

Private funds

reported on Schedule D

History

400 filings and snapshots on the tape

RAUM$1.5B as of Mar 27, 2018

Feb 29, 2012$313M then

HNW client RAUM: $11.8M

State-registered IARs (5.B.3)167 as of Mar 27, 2018

Feb 29, 20120 then

Employees (5.A)214 as of Mar 27, 2018

Mar 11, 2013205 then

Private funds: no history

RAUM +27% over the last fiscal year+29% a year over threeIARs 212 to 213

Practice profile

derived from the filing of Sep 18, 2026; every figure names its basis

Archetypes, each a printed rule

Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
Multi-office growth platform · an independent wealth manager (not a wirehouse, national broker-dealer RIA or broker-dealer affiliated firm) with at least five offices, at least 50 advisors, and RAUM up at least 20 percent over the last annual amendment
Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets

RAUM per advisor: $38.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 121derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.7MderivedHNW RAUM over HNW clients
Average account: $215,087derivedRAUM over accounts (5.F.2.f)
Discretionary: 79%derivedof RAUM
Institutional: 3.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 0.9derivedItem 5.A over advisors
Advisors per office: 1.8derived138 offices incl. principal (1.F.5)
RAUM growth, one year: +27%derivedbetween the last two annual amendments
Advisor growth, one year: +0.5%derivedItem 5.B.3 between annual amendments
Client growth, one year: +32%derived
Compensation: percentage of assets, hourly, fixed fees, subscription, commissionsreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Wrap fee program: $1.2BreportedItem 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

is a broker-dealer (6.A.1)
is an insurance broker or agent (6.A.6)
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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Individuals$6.6B69%
High-net-worth individuals$2.6B27%
Charitable organizations$125M1.3%
State and municipal entities$108M1.1%
Pension and profit-sharing plans$71.5M0.7%
Corporations and businesses$46.5M0.5%
Insurance companies$3.0M0.0%

Individual clients: 28,325reported
HNW clients: 1,502reported
Pension plan clients: 227reported
Charitable clients: 159reported
Accounts: 44,629reported
Financial planning clients: 101-250reported
Wrap fee programs: $1.2B sponsored, $0 managedreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourly, commissionsreported
Class basis: private_client_share=0.96 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=232.0derived

Advisors registered through the firm

246 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
S••••• P••• C••••••••Certified Financial Planner, Chartered Financial Consultant	Green Bay, Wi	Oct 26, 1989	43 y	0
R•••••• F•••••• S••••••Certified Financial Planner	Appleton, Wi	Jul 12, 1990	41 y	0
C••••••••• F•••••• P•••	Brookfield, Wi	Sep 12, 1997	34 y	0
G••••• J••••• D•••••Certified Financial Planner	Green Bay, Wi	Jul 15, 1998	28 y	0
R••••• J•••• S••••••	Waunakee, Wi	Apr 28, 2000	26 y	0
J••• R•••••• A•••••••Chartered Financial Consultant	Brookfield, Wi	Apr 20, 2001	38 y	0
J••• J••• R•••••••••Certified Financial Planner	Machesney P•••, Il	Oct 27, 2001	38 y	1
D••••• E•••• G••••	Waukesha, Wi	May 10, 2002	30 y	0
J••••• E••••• C•••••	Brookfield, Wi	Aug 25, 2003	24 y	0
B•••• W••• W•••••	Middleton, Wi	May 7, 2004	36 y	0
J•• D•••• H••••••Certified Financial Planner	Middleton, Wi	May 7, 2004	22 y	0
P••• A••• B••••Certified Financial Planner, Chartered Financial Consultant	La Cr•••E, Wi	Jul 1, 2005	40 y	0
K•••• R••• B•••••	Weston, Wi	Jun 24, 2008	34 y	0
S•••••• W•••••• O•••••••	Luxemburg, Wi	Feb 6, 2009	24 y	0
T••••• E•••• B••••	Waukesha, Wi	Mar 12, 2009	43 y	1
A••• R•••••• J•••••••	Rockford, Il	Aug 21, 2009	42 y	1
B•• C•••• K•••••••Certified Financial Planner, Chartered Financial Consultant	Lexington, Ky	Sep 2, 2009	59 y	1
R••••• A••• P••••••	Fitchburg, Wi	Oct 22, 2009	39 y	0
P•••••• C••• P•••••••	Green Bay, Wi	Nov 23, 2009	30 y	0
S••••• R••••• K•••••••••	Cedar Grove, Wi	Jan 4, 2010	31 y	1
S••••• K••• S••••••	Elm Grove, Wi	Jan 4, 2010	25 y	0
D•••• J••• K•••••	Kalamazoo, Mi	Jul 2, 2010	42 y	0
C•••• A•••••••• K•••	Richland, Mi	Sep 28, 2010	34 y	1
K•••• M•••••• F•••	Charlevoix, Mi	Oct 6, 2010	26 y	1
E••• E••• G•••••Certified Financial Planner	Menomonee Falls, Wi	Nov 18, 2010	29 y	1
M••••••• M•••• C•••••	Lac Du Flambeau, Wi	Feb 8, 2011	41 y	1
A•••• J•••• C•••Certified Financial Planner	Viroqua, Wi	Aug 23, 2011	27 y	2
W••••• J••••• R••••••	Dayton, Oh	Oct 4, 2011	39 y	3
J•• P••••• L••••••Certified Financial Planner, Chartered Financial Consultant	Reed City, Mi	Nov 4, 2011	31 y	1
K•••••• W•••••• R•••••••	Lima, Oh	Nov 7, 2011	37 y	0
M•••••• T••••• N•••••	La Cr•••E, Wi	Jan 12, 2012	21 y	1
A•••• M•••••• H••••	Madison, Wi	Jan 31, 2012	21 y	0
R•••••• A••••• O••••••	Madison, Wi	Jan 31, 2012	27 y	0
J•••• M•••• N•••••	Madison, Wi	Jan 31, 2012	22 y	0
G•••• C••••••••• D•••	Eaton, Oh	Feb 8, 2012	26 y	3
A•••••• H••••• S••••	Madison, Wi	Feb 9, 2012	26 y	0
P••• H•••• K•••••	Kalamazoo, Mi	Feb 17, 2012	15 y	0
D•••• W•••••• D••••••••	Janesville, Wi	Apr 26, 2012	17 y	1
A•••• G• T•••••	Stoughton, Wi	May 23, 2012	18 y	1
N••••••• J•••• W••••	Oregon, Wi	Jul 17, 2012	18 y	1

All 246 advisors at H•••••• I••••••••• I•••

Advisor movement

29 left, 22 joined in 12 months

net -7 in 12 months6 left in 90 days5 joined in 90 daysdeparture rate 12% of current headcount41 left over 36 months

Left, latest

M•••• L•••• W•••• to C•••••••• A•••• M••••••••• L••
Aug 11, 2026 · RIA to a state-registered adviser
J•••••• S••••• H••• to C•••••• L••
Aug 10, 2026 · RIA to RIA
P•••••• N••• G•••••• to L•• F•••••••• L••
Aug 4, 2026 · RIA to affiliated broker-dealer or bank
C••••• J••• B•••••••• to L•• F•••••••• L••
Aug 4, 2026 · RIA to affiliated broker-dealer or bank
B••••• R• F••••• to L•• F•••••••• L••
Jul 22, 2026 · RIA to affiliated broker-dealer or bank
C••••• A•• D••••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
Jul 6, 2026 · RIA to affiliated broker-dealer or bank
N••••• E••••• N•••••••• to L•• F•••••••• L••
Jun 22, 2026 · RIA to affiliated broker-dealer or bank
J•••••• M• B••• to B••••• P••••• A•••••••• L••
Jun 18, 2026 · RIA to RIA
G•••• A••• H•••••• to A••••••• A••••••• S•••••••• L••
May 19, 2026 · RIA to affiliated broker-dealer or bank
C•••• R••••••• to J••• M••••• S••••••••• L••
May 14, 2026 · RIA to wirehouse
N••• A•••••••• T••••••• to E• W••••• A•••••••
Apr 1, 2026 · RIA to RIA
K••• L•• A•••• to L•• F•••••••• L••
Mar 6, 2026 · RIA to affiliated broker-dealer or bank
A••••• J• S•••••• to E• W••••• A•••••••
Feb 20, 2026 · RIA to RIA
B•••• S•••• G•••••• to O•••• W•••••• I•••
Feb 20, 2026 · RIA to affiliated broker-dealer or bank
B•••• A•••••• W••••• to P•••••• A•••• • T•• A•••••••
Feb 20, 2026 · RIA to a state-registered adviser

Joined, latest

J••• A•••••• M••••••• from C•••••• I••••••••• A••••••• C••••••• I•••
Sep 1, 2026 · RIA to RIA
B•••••• R•••••• S•••••••• from C•••••• I••••••••• A••••••• C••••••• I•••
Aug 17, 2026 · RIA to RIA
J•••• D••••• S•••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••
Jul 24, 2026 · Other
P•••• A••••• A•••••• G•• from K••••• A••••••• S•••••••• L••
Jul 16, 2026 · Affiliated broker-dealer or bank to independent RIA
T••••• A• C•••• from N••••••••• M••••• I••••••••• S•••••••••
Jun 23, 2026 · Other
A•••• M•••• F••••••• from A••••••••• F•••••••• S•••••••• L••
Jun 22, 2026 · Affiliated broker-dealer or bank to independent RIA
E•••••• P••• D••••••••• from E•••••• A••••••• G••••• L••
Jun 1, 2026 · Affiliated broker-dealer or bank to independent RIA
V•••••• N••••• M••••• from O•••• W•••••• I•••
Apr 27, 2026 · Affiliated broker-dealer or bank to independent RIA
C••••• L• M••••••• from L•• F•••••••• L••
Mar 17, 2026 · Affiliated broker-dealer or bank to independent RIA
J••••• R••••• C•••••• from L•• F•••••••• L••
Mar 17, 2026 · Affiliated broker-dealer or bank to independent RIA
M•••• L•••• W•••• from C•••••• S••••• • C••• I•••
Feb 4, 2026 · Affiliated broker-dealer or bank to independent RIA
J••• C••••••••• D••••••• from G•••••••• F•••••••• • E••••• S•••••••• I•••
Jan 28, 2026 · RIA to RIA
J••• D•••••• B••••• from T•• T••••• G••••• L••
Oct 29, 2025 · Other
E•••• N••••• F•••••• from M•••• C••••••• A••••••• S••••••
Sep 23, 2025 · Affiliated broker-dealer or bank to independent RIA
M••• M•••••• J•••••• from M•••• C••••••• A••••••• S••••••
Sep 23, 2025 · Affiliated broker-dealer or bank to independent RIA

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 left for L•• F•••••••• L••
Aug 4, 2026 · Portage, Mi
2 left for E• W••••• A•••••••
Feb 20, 2026 · S••••Sdale, Az
9 left for M•••• F•••••••• A•••••••
Nov 3, 2025 · Madison, Wi
2 left for R•••••••• M••••••••• G••••
Dec 31, 2020 · Dubuque, Ia
2 left for C••• L••
Jul 19, 2018 · Deforest, Wi
4 left for N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••
Jul 18, 2016 · Bloomington, Mn

2 joined from C•••••• I••••••••• A••••••• C••••••• I•••
Aug 19, 2026 · St C••••••, Il
2 joined from T•• T••••• G••••• L••
Jul 8, 2026 · Libertyville, Il
5 joined from M•••• C••••••• A••••••• S••••••
Apr 15, 2026 · Palm Beach Gardens, Fl
2 joined from L•• F•••••••• L••
Mar 31, 2026 · Stoughton, Wi
4 joined from B••••• W••••• A•••••••• L••
Dec 31, 2023 · Mch••••, Il · Firm absorbed
2 joined from N••• F•••••••• G••••• I•••
Apr 20, 2023 · Elm Grove, Wi
2 joined from S••••••• F•••••••• S•••••••• I•••
Jun 27, 2022 · Milwaukee, Wi
2 joined from C••••• • A••••••••• I•••
Nov 12, 2020 · Elkhorn, Wi

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

S•••••• N••• W•••••• · Chief Executive Officercontrol
since 01/1987 · owns 75% or more
D•••••• J•••• W••••• · Vice President Of Operations
since 01/2020 · owns less than 5%
H••••• A•••• M•••••• · President
since 01/2020 · owns less than 5%
K•••••••• K••• L•• · Co-Cco
since 09/2023 · owns less than 5%
M••••••• R•••••• O••••• · Co-Cco
since 09/2023 · owns less than 5%
M••••• R••••• L•• · Senior Vice President & Chief Operating Officer, Finop
since 01/2020 · owns less than 5%
N•••••• J•••• M•••• · Vp Of Advisory Operations & S••••••S
since 08/2021 · owns less than 5%
W••••••••• D••••• T••••• · Vice President Of Advisor Development
since 01/2020 · owns less than 5%

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
Madison, Wi · principal	26	7	15	1
Fitchburg, Wi	18	2	0
Green Bay, Wi	14	2	1
Brookfield, Wi	10	0	0
Libertyville, Il	10	8	0
Greenfield, Wi	8	1	0
Appleton, Wi	8	2	0
Rockford, Il	7	1	1
Middleton, Wi	7	0	0
Kalamazoo, Mi	6	0	1
Elm Grove, Wi	6	0	0
Milwaukee, Wi	5	0	0
St J•••••, Mi	5	1	0
Edmonds, Wa	5	3	1
Oostburg, Wi	5	1	0
Fort Wayne, In	5	0	0
Menomonee Falls, Wi	5	3	1
Waukesha, Wi	4	1	0
Bloomington, Mn	4	1	0
Sun Prairie, Wi	3	0	0

Offices

Schedule D 1.F, the 25 largest

Verona, WI15 employees
Madison, WI12 employees
Greenfield, WI8 employees
Green Bay, WI6 employees
Appleton, WI5 employees
Battle Creek, MI5 employees
Oostburg, WI4 employees
St. Louis P•••, MN4 employees
Kalamazoo, MI4 employees
Portage, MI4 employees
Holland, MI4 employees
Mch••••, IL4 employees
Reed City, MI3 employees
Green Bay, WI3 employees
Neenah, WI3 employees
Kalamazoo, MI3 employees
West Des Moines, IA3 employees
Rockford, IL3 employees
Edmonds, WA3 employees
Kalamazoo, MI3 employees
Milwaukee, WI3 employees
Fort Wayne, IN3 employees
Madison, WI3 employees
Verona, WI3 employees
Viroqua, WI3 employees

ADV anomalies

1 against comparable advisers; where to look, not conclusions

discretionary share shiftChange between filings · filing Apr 28, 2026
discretionary share of RAUM moved from 64.0% to 79.0% between the annual amendments of 2025-04-28 and 2026-04-28
peers: WEALTH_I•••••••••, $5B to $20B (289)

How anomalies are measured

What changed

consecutive filings, newest first

Financial planning clients · 101-250 to 101-250
Aug 31, 2026 to Sep 11, 2026
Succession · false to unset
Aug 31, 2026 to Sep 11, 2026
Accounts · 38,692 to 44,629
Feb 27, 2026 to Mar 31, 2026
Advisory employees · 212 to 213
Feb 27, 2026 to Mar 31, 2026
BD registered reps · 231 to 232
Feb 27, 2026 to Mar 31, 2026
Charity clients · 82 to 159
Feb 27, 2026 to Mar 31, 2026
Corporate clients · 70 to 96
Feb 27, 2026 to Mar 31, 2026
HNW clients · 1,042 to 1,502
Feb 27, 2026 to Mar 31, 2026
Individual clients · 21,523 to 28,325
Feb 27, 2026 to Mar 31, 2026
Pension plan clients · 200 to 227
Feb 27, 2026 to Mar 31, 2026
Employees · 231 to 232
Feb 27, 2026 to Mar 31, 2026
Insurance-licensed employees · 4 to 2
Feb 27, 2026 to Mar 31, 2026
State-registered IARs · 212 to 213
Feb 27, 2026 to Mar 31, 2026
Discretionary RAUM · $4.9B to $7.6B
Feb 27, 2026 to Mar 31, 2026
HNW RAUM · $1.8B to $2.6B
Feb 27, 2026 to Mar 31, 2026
Individual RAUM · $5.5B to $6.6B
Feb 27, 2026 to Mar 31, 2026
Non-discretionary RAUM · $2.7B to $2.0B
Feb 27, 2026 to Mar 31, 2026
Pension RAUM · $56.7M to $71.5M
Feb 27, 2026 to Mar 31, 2026
RAUM · $7.6B to $9.6B
Feb 27, 2026 to Mar 31, 2026
Wrap assets (sponsor) · $1.3B to $1.2B
Feb 27, 2026 to Mar 31, 2026
Financial planning clients · 101-250 to 101-250
Jun 30, 2025 to Jul 31, 2025
Accounts · 33,564 to 38,692
Feb 27, 2025 to Apr 28, 2025
Advisory employees · 206 to 212
Feb 27, 2025 to Apr 28, 2025
BD registered reps · 228 to 231
Feb 27, 2025 to Apr 28, 2025
Charity clients · 74 to 82
Feb 27, 2025 to Apr 28, 2025
Corporate clients · 81 to 70
Feb 27, 2025 to Apr 28, 2025
HNW clients · 732 to 1,042
Feb 27, 2025 to Apr 28, 2025
Individual clients · 20,966 to 21,523
Feb 27, 2025 to Apr 28, 2025
Pension plan clients · 192 to 200
Feb 27, 2025 to Apr 28, 2025
Employees · 228 to 231
Feb 27, 2025 to Apr 28, 2025
State-registered IARs · 206 to 212
Feb 27, 2025 to Apr 28, 2025
Other offices · 140 to 137
Feb 27, 2025 to Apr 28, 2025
Discretionary RAUM · $4.8B to $4.9B
Feb 27, 2025 to Apr 28, 2025
HNW RAUM · $1.4B to $1.8B
Feb 27, 2025 to Apr 28, 2025
Individual RAUM · $4.5B to $5.5B
Feb 27, 2025 to Apr 28, 2025
Non-discretionary RAUM · $1.3B to $2.7B
Feb 27, 2025 to Apr 28, 2025
Pension RAUM · $59.1M to $56.7M
Feb 27, 2025 to Apr 28, 2025
RAUM · $6.1B to $7.6B
Feb 27, 2025 to Apr 28, 2025
Wrap assets (sponsor) · $882M to $1.3B
Feb 27, 2025 to Apr 28, 2025
Accounts · 28,573 to 33,564
Mar 21, 2024 to Mar 25, 2024

Signals

60 dated events

2 advisors left C•••••• I••••••••• A••••••• C••••••• I••• (ST Charles, IL) for H•••••• I••••••••• I••• within 7 days
Aug 19, 2026 · Team lift-out · derived
M•••• L•••• W•••• left H•••••• I••••••••• I••• for C•••••••• A•••• M••••••••• L•• (registered 2026-08-10)
Aug 11, 2026 · Advisor changed firm · fact
J•••••• S••••• H••• left H•••••• I••••••••• I••• for C•••••• L•• (registered 2026-08-13)
Aug 10, 2026 · Advisor changed firm · fact
2 advisors left H•••••• I••••••••• I••• (Portage, MI) for L•• F•••••••• L•• on the same day
Aug 4, 2026 · Team lift-out · derived
P•••••• N••• G•••••• left H•••••• I••••••••• I••• for L•• F•••••••• L•• (registered 2026-07-28)
Aug 4, 2026 · Advisor changed firm · fact
C••••• J••• B•••••••• left H•••••• I••••••••• I••• for L•• F•••••••• L•• (registered 2026-07-28)
Aug 4, 2026 · Advisor changed firm · fact
B••••• R• F••••• left H•••••• I••••••••• I••• for L•• F•••••••• L•• (registered 2026-07-17)
Jul 22, 2026 · Advisor changed firm · fact
2 advisors left T•• T••••• G••••• L•• (Libertyville, IL) for H•••••• I••••••••• I••• on the same day
Jul 8, 2026 · Team lift-out · derived
C••••• A•• D••••••••• left H•••••• I••••••••• I••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2026-07-06)
Jul 6, 2026 · Advisor changed firm · fact
N••••• E••••• N•••••••• left H•••••• I••••••••• I••• for L•• F•••••••• L•• (registered 2026-06-30)
Jun 22, 2026 · Advisor changed firm · fact
J•••••• M• B••• left H•••••• I••••••••• I••• for B••••• P••••• A•••••••• L•• (registered 2026-07-07)
Jun 18, 2026 · Advisor changed firm · fact
B•••• A•••••• W••••• no longer registered at H•••••• I••••••••• I•••; no later IA registration on IAPD
Jun 2, 2026 · Advisor departure · fact
G•••• A••• H•••••• left H•••••• I••••••••• I••• for A••••••• A••••••• S•••••••• L•• (registered 2026-06-05)
May 19, 2026 · Advisor changed firm · fact
C•••• R••••••• left H•••••• I••••••••• I••• for J••• M••••• S••••••••• L•• (registered 2026-04-20)
May 14, 2026 · Advisor changed firm · fact
6 advisors left M•••• C••••••• A••••••• S•••••• (Palm Beach Gardens, FL) for H•••••• I••••••••• I••• on the same day
Apr 15, 2026 · Team lift-out · derived
N••• A•••••••• T••••••• left H•••••• I••••••••• I••• for E• W••••• A••••••• (registered 2026-03-11)
Apr 1, 2026 · Advisor changed firm · fact
H•••••• I••••••••• I••• reported RAUM $9.6B, up 27% from $7.6B (2026-02-27 to 2026-03-31)
Mar 31, 2026 · RAUM change · derived
2 advisors left L•• F•••••••• L•• (Stoughton, WI) for H•••••• I••••••••• I••• on the same day
Mar 31, 2026 · Team lift-out · derived
K••• L•• A•••• left H•••••• I••••••••• I••• for L•• F•••••••• L•• (registered 2026-03-09)
Mar 6, 2026 · Advisor changed firm · fact
B•••• A•••••• W••••• left H•••••• I••••••••• I••• for P•••••• A•••• • T•• A••••••• (registered 2026-02-13)
Feb 20, 2026 · Advisor changed firm · fact
B•••• S•••• G•••••• left H•••••• I••••••••• I••• for O•••• W•••••• I••• (registered 2026-02-20)
Feb 20, 2026 · Advisor changed firm · fact
M•••••• R••••• P••••• K••••••• left H•••••• I••••••••• I••• for E• W••••• A••••••• (registered 2026-03-05)
Feb 20, 2026 · Advisor changed firm · fact
A••••• J• S•••••• left H•••••• I••••••••• I••• for E• W••••• A••••••• (registered 2026-03-05)
Feb 20, 2026 · Advisor changed firm · fact
2 advisors left H•••••• I••••••••• I••• (Scottsdale, AZ) for E• W••••• A••••••• on the same day
Feb 20, 2026 · Team lift-out · derived
W•••••• S•••• D•••• left H•••••• I••••••••• I••• for O•••• W•••••• I••• (registered 2026-02-20)
Feb 20, 2026 · Advisor changed firm · fact
J•••• P•••••• M••••••• left H•••••• I••••••••• I••• for C••••• F•••••••• (registered 2025-10-20)
Dec 31, 2025 · Advisor changed firm · fact
M••• A••• Z•••••• left H•••••• I••••••••• I••• for M•••• F•••••••• A••••••• (registered 2025-11-03)
Dec 31, 2025 · Advisor changed firm · fact
L•••• W•••••• M••••••• left H•••••• I••••••••• I••• for M•••• F•••••••• A••••••• (registered 2025-11-03)
Nov 3, 2025 · Advisor changed firm · fact
A•• C•••• T••••• left H•••••• I••••••••• I••• for M•••• F•••••••• A••••••• (registered 2025-11-03)
Nov 3, 2025 · Advisor changed firm · fact
E•••• B•••••• left H•••••• I••••••••• I••• for M•••• F•••••••• A••••••• (registered 2025-11-03)
Nov 3, 2025 · Advisor changed firm · 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: 608-662-6100reportedpublished by the firm, firm site, Sep 15, 2026
Firm profile: LINKEDIN.COM/COMPANY/711277reportedpublic record, Form ADV, Sep 21, 2026
Website: H••••••INV.COMreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 608-662-6100reportedpublic record, Form ADV, Sep 18, 2026
Contact form: harbourinv.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
Team page: harbourinv.com/staff/julie-nellesreportedpublished 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: $38.9Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026