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

A•• 4••••• M•••••••••

Former SEC-registered adviserAppleton, WisconsinCRD 220516SEC 801-96217IAPD
Legal name A•• W••••• • R••••••••• A••••••• L••
Latest filing Aug 13, 2021
First filing on the tape Apr 23, 2015 · 28 filings
RAUM
$45.9M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$45.9M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$45.9M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$45.9M as of Feb 3, 2021
Mar 15, 2016$111M then
HNW client RAUM$23.3M as of Feb 3, 2021
Mar 14, 2018$91.4M then
State-registered IARs (5.B.3)2 as of Feb 3, 2021
Mar 15, 20163 then
Employees (5.A)3 as of Feb 3, 2021
Mar 15, 20164 then
Private funds: no history
RAUM -69% over the last fiscal year-30% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Aug 13, 2021; every figure names its basis
RAUM per advisor
$45.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
206derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.6MderivedHNW RAUM over HNW clients
Average account
$222,643derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-69%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-32%derived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
portfolio management for individuals, pension consultingreportedItem 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
  • 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$23.3M51%
  • Individuals$22.6M49%
Individual clients
191reported
HNW clients
15reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
206reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
N••••• D••••• S•••••••••Appleton, Wi Sep 3, 202124 y3
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • S••••••••• N•••••• D••••• · Managing Member & Chief Compliance Officercontrol
    since 07/2020 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Advisory employees · 2 to 1
    Apr 15, 2021 to Jul 30, 2021
  • Employees · 3 to 2
    Apr 15, 2021 to Jul 30, 2021
  • State-registered IARs · 2 to 1
    Apr 15, 2021 to Jul 30, 2021
  • Accounts · 305 to 206
    Feb 3, 2021 to Feb 3, 2021
  • Business name · A•• W••••• • R••••••••• A••••••• L•• to A•• 4••••• M•••••••••
    Feb 3, 2021 to Feb 3, 2021
  • HNW clients · 51 to 15
    Feb 3, 2021 to Feb 3, 2021
  • Individual clients · 254 to 191
    Feb 3, 2021 to Feb 3, 2021
  • Discretionary RAUM · $116M to $0
    Feb 3, 2021 to Feb 3, 2021
  • HNW RAUM · $102M to $23.3M
    Feb 3, 2021 to Feb 3, 2021
  • Individual RAUM · $44.3M to $22.6M
    Feb 3, 2021 to Feb 3, 2021
  • Non-discretionary RAUM · $30.3M to $45.9M
    Feb 3, 2021 to Feb 3, 2021
  • RAUM · $146M to $45.9M
    Feb 3, 2021 to Feb 3, 2021
  • Advisory activities · 3 to 2
    Jun 15, 2020 to Dec 14, 2020
  • Financial planning clients · 51-100 to unset
    Jun 15, 2020 to Dec 14, 2020
  • Accounts · 531 to 305
    May 1, 2019 to Mar 23, 2020
  • HNW clients · 45 to 51
    May 1, 2019 to Mar 23, 2020
  • Individual clients · 252 to 254
    May 1, 2019 to Mar 23, 2020
  • Discretionary RAUM · $81.7M to $116M
    May 1, 2019 to Mar 23, 2020
  • HNW RAUM · $81.7M to $102M
    May 1, 2019 to Mar 23, 2020
  • Individual RAUM · $42.6M to $44.3M
    May 1, 2019 to Mar 23, 2020
  • Non-discretionary RAUM · $42.6M to $30.3M
    May 1, 2019 to Mar 23, 2020
  • RAUM · $124M to $146M
    May 1, 2019 to Mar 23, 2020
  • Accounts · 524 to 531
    Nov 30, 2018 to Mar 19, 2019
  • HNW clients · 50 to 45
    Nov 30, 2018 to Mar 19, 2019
  • Individual clients · 257 to 252
    Nov 30, 2018 to Mar 19, 2019
  • Discretionary RAUM · $86.1M to $81.7M
    Nov 30, 2018 to Mar 19, 2019
  • HNW RAUM · $91.4M to $81.7M
    Nov 30, 2018 to Mar 19, 2019
  • Individual RAUM · $42.6M to $42.6M
    Nov 30, 2018 to Mar 19, 2019
  • Non-discretionary RAUM · $48.0M to $42.6M
    Nov 30, 2018 to Mar 19, 2019
  • RAUM · $134M to $124M
    Nov 30, 2018 to Mar 19, 2019
  • Advisory employees · 3 to 2
    Mar 14, 2018 to Nov 30, 2018
  • Employees · 4 to 3
    Mar 14, 2018 to Nov 30, 2018
  • State-registered IARs · 3 to 2
    Mar 14, 2018 to Nov 30, 2018
  • Accounts · 528 to 524
    Apr 21, 2017 to Mar 14, 2018
  • Advisory activities · 4 to 3
    Apr 21, 2017 to Mar 14, 2018
  • Charity clients · unset to 0.0
    Apr 21, 2017 to Mar 14, 2018
  • Corporate clients · unset to 0.0
    Apr 21, 2017 to Mar 14, 2018
  • HNW clients · unset to 50.0
    Apr 21, 2017 to Mar 14, 2018
  • Individual clients · unset to 257.0
    Apr 21, 2017 to Mar 14, 2018
  • Pension plan clients · unset to 0.0
    Apr 21, 2017 to Mar 14, 2018
Signals
4 dated events
  • A•• 4••••• M••••••••• reported RAUM $45.9M, down 69% from $146.0M (2021-02-03 to 2021-02-03)
    Feb 3, 2021 · RAUM change · derived
  • Robert James Allan (Managing Member & Chief Compliance Officer) no longer on Schedule A of A•• 4••••• M••••••••• (listed 2020-06-15, absent 2020-12-14)
    Dec 14, 2020 · Control person left · inference
  • Daniel Nathan Schleicher (Managing Member & Chief Compliance Officer) appeared on Schedule A of A•• 4••••• M•••••••••
    Dec 14, 2020 · Control person joined · fact
  • A•• W••••• • R••••••••• A••••••• L•• filed its initial SEC registration (Form ADV)
    Apr 23, 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
Website
asc401k.comreportedpublic record, Form ADV, Sep 18, 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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
$45.9Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026