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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

M•••• W•••• B••••• P••••••• I•• L••

Former SEC-registered adviserMilwaukee, WisconsinCRD 282029SEC 801-106959IAPD
Latest filing Mar 24, 2020
First filing on the tape Nov 16, 2015 · 7 filings
RAUM
$641M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
18
16 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$612M gross assets
History
7 filings and snapshots on the tape
RAUM$641M as of Mar 24, 2020
Mar 21, 2016$597M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2020
Mar 21, 20160 then
Employees (5.A)18 as of Mar 24, 2020
Mar 21, 201614 then
Private funds1 as of Mar 24, 2020
Mar 21, 20161 then
RAUM +18% over the last fiscal year+3.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 2020; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$321MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+18%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$641M, 2 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$641M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$641M for 2 clientsreported
Compensation
% of AUM, performancereported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • D•••••• J••••• S• · Member And Chief Compliance Officercontrol
        since 11/2015 · owns 5% to 10%
      • H•••••••• B•••••••• L•••••• · Membercontrol
        since 11/2015 · owns 10% to 25%
      • K•••••••• K••••• P• · Membercontrol
        since 11/2015 · owns 10% to 25%
      • M••••• G••••••• J•• · Membercontrol
        since 11/2015 · owns 10% to 25%
      • R•••••• J••• J• · Membercontrol
        since 11/2015 · owns 10% to 25%
      • S••••• T•••••• G••••• · Managing Membercontrol
        since 11/2015 · owns 10% to 25%
      • S••••• T•••••• G••••• · Shareholdercontrol
        since 01/2016 · owns 50% to 75% of M•••• W••••• I•••
      Entity owners
      • M•••• W••••• I••• · Member
        direct · owns 5% to 10%
      Related persons
      Schedule D 7.A
      Advisers that list M•••• W•••• B••••• P••••••• I•• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $543M to $641M
        Mar 25, 2019 to Mar 24, 2020
      • Discretionary RAUM · $543M to $641M
        Mar 25, 2019 to Mar 24, 2020
      • Pooled vehicle RAUM · $543M to $641M
        Mar 25, 2019 to Mar 24, 2020
      • RAUM · $543M to $641M
        Mar 25, 2019 to Mar 24, 2020
      • Assets in custody · $563M to $543M
        Mar 28, 2018 to Mar 25, 2019
      • Discretionary RAUM · $563M to $543M
        Mar 28, 2018 to Mar 25, 2019
      • Pooled vehicle RAUM · $563M to $543M
        Mar 28, 2018 to Mar 25, 2019
      • RAUM · $563M to $543M
        Mar 28, 2018 to Mar 25, 2019
      • Advisory employees · 15 to 16
        Mar 30, 2017 to Mar 28, 2018
      • Pooled vehicle clients · unset to 2.0
        Mar 30, 2017 to Mar 28, 2018
      • Assets in custody · $574M to $563M
        Mar 30, 2017 to Mar 28, 2018
      • Employees · 17 to 18
        Mar 30, 2017 to Mar 28, 2018
      • Other offices · unset to 0.0
        Mar 30, 2017 to Mar 28, 2018
      • Discretionary RAUM · $574M to $563M
        Mar 30, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 563069603.0
        Mar 30, 2017 to Mar 28, 2018
      • RAUM · $574M to $563M
        Mar 30, 2017 to Mar 28, 2018
      • Advisory employees · 12 to 15
        Mar 21, 2016 to Mar 30, 2017
      • Assets in custody · $597M to $574M
        Mar 21, 2016 to Mar 30, 2017
      • Employees · 14 to 17
        Mar 21, 2016 to Mar 30, 2017
      • Discretionary RAUM · $597M to $574M
        Mar 21, 2016 to Mar 30, 2017
      • RAUM · $597M to $574M
        Mar 21, 2016 to Mar 30, 2017
      • Accounts · 0 to 2
        Dec 2, 2015 to Mar 21, 2016
      • Assets in custody · $0 to $597M
        Dec 2, 2015 to Mar 21, 2016
      • Discretionary RAUM · $0 to $597M
        Dec 2, 2015 to Mar 21, 2016
      • RAUM · $0 to $597M
        Dec 2, 2015 to Mar 21, 2016
      Signals
      1 dated events
      • M•••• W•••• B••••• P••••••• I•• L•• filed its initial SEC registration (Form ADV)
        Nov 16, 2015 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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