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.
SEC-registered adviser
4••• I••••••••• P•••••••••
Legal name I••••••••• P••••••••• L••
Latest filing Mar 10, 2026
First filing on the tape Jul 1, 2019 · 13 filings
SEC status approved since Aug 1, 2019
RAUM
$311M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
7.4%
$23.0M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$77.8M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$311M as of Mar 10, 2026
Mar 17, 2020$146M then
HNW client RAUM$3.0M as of Mar 10, 2026
Mar 17, 2020$0 then
State-registered IARs (5.B.3)4 as of Mar 10, 2026
Mar 17, 20204 then
Employees (5.A)4 as of Mar 10, 2026
Mar 17, 20204 then
Private funds: no history
RAUM +0.0% over the last fiscal year+17% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 10, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $77.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 17derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.0MderivedHNW RAUM over HNW clients
- Average account
- $2.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 93%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Financial planning clients
- 1,500reportedItem 5.H
- 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 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$288M93%
- Individuals$20.0M6.4%
- High-net-worth individuals$3.0M1.0%
- Individual clients
- 63reported
- HNW clients
- 3reported
- Pension plan clients
- 71reported
- Charitable clients
- 0reported
- Accounts
- 137reported
- Financial planning clients
- 1,500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.07 fund_share=0.0 institutional_share=0.93 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• D••••• M•••• | Waunakee, Wi | Feb 26, 2016 | 18 y | 2 |
| L•••• R••••• J••••• | Waunakee, Wi | May 5, 2016 | 25 y | 1 |
| R••••• P•••••••••Certified Financial Planner | Edwards, Co | Mar 22, 2017 | 13 y | 0 |
| B••••••• J••• J•••• | Waunakee, Wi | Oct 13, 2017 | 34 y | 1 |
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
Left, latest
none on the tape
Joined, latest
- B••••••• J••• J•••• from P••••••••• B•••••••• S•••••••• I•••Oct 13, 2017 · Other
- L•••• R••••• J••••• from P••••••••• B•••••••• S•••••••• I•••May 5, 2016 · Other
- J•••• D••••• M•••• from P••••••••• B•••••••• S•••••••• I•••Feb 26, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••• J••••• D••••• · President/Chief Compliance Officercontrolsince 04/2010 · 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 |
|---|---|---|---|---|---|
| Waunakee, Wi · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 131 to 137Feb 13, 2025 to Mar 10, 2026
- Discretionary RAUM · $281M to $288MFeb 13, 2025 to Mar 10, 2026
- Non-discretionary RAUM · $30.0M to $23.0MFeb 13, 2025 to Mar 10, 2026
- Accounts · 107 to 131Dec 2, 2024 to Feb 13, 2025
- Individual clients · 43 to 63Dec 2, 2024 to Feb 13, 2025
- Financial planning clients · More than 500 to More than 500Dec 2, 2024 to Feb 13, 2025
- Discretionary RAUM · $192M to $281MDec 2, 2024 to Feb 13, 2025
- Individual RAUM · $7.0M to $20.0MDec 2, 2024 to Feb 13, 2025
- Non-discretionary RAUM · $23.0M to $30.0MDec 2, 2024 to Feb 13, 2025
- Pension RAUM · $205M to $288MDec 2, 2024 to Feb 13, 2025
- RAUM · $215M to $311MDec 2, 2024 to Feb 13, 2025
- Accounts · 93 to 107Mar 7, 2023 to Jan 4, 2024
- HNW clients · 0 to 3Mar 7, 2023 to Jan 4, 2024
- Individual clients · 23 to 43Mar 7, 2023 to Jan 4, 2024
- Pension plan clients · 70 to 71Mar 7, 2023 to Jan 4, 2024
- Financial planning clients · 0 to More than 500Mar 7, 2023 to Jan 4, 2024
- Discretionary RAUM · $191M to $192MMar 7, 2023 to Jan 4, 2024
- HNW RAUM · $0 to $3.0MMar 7, 2023 to Jan 4, 2024
- Individual RAUM · $6.0M to $7.0MMar 7, 2023 to Jan 4, 2024
- Non-discretionary RAUM · $2.0M to $23.0MMar 7, 2023 to Jan 4, 2024
- Pension RAUM · $187M to $205MMar 7, 2023 to Jan 4, 2024
- RAUM · $193M to $215MMar 7, 2023 to Jan 4, 2024
- Accounts · 80 to 93Jan 18, 2022 to Feb 21, 2023
- Advisory activities · 1 to 2Jan 18, 2022 to Feb 21, 2023
- Individual clients · 15 to 23Jan 18, 2022 to Feb 21, 2023
- Pension plan clients · 65 to 70Jan 18, 2022 to Feb 21, 2023
- Financial planning clients · unset to 0Jan 18, 2022 to Feb 21, 2023
- Discretionary RAUM · $207M to $191MJan 18, 2022 to Feb 21, 2023
- Non-discretionary RAUM · $20.0M to $2.0MJan 18, 2022 to Feb 21, 2023
- Pension RAUM · $221M to $187MJan 18, 2022 to Feb 21, 2023
- RAUM · $227M to $193MJan 18, 2022 to Feb 21, 2023
- Accounts · 68 to 80Mar 22, 2021 to Jan 18, 2022
- Individual clients · 13 to 15Mar 22, 2021 to Jan 18, 2022
- Pension plan clients · 55 to 65Mar 22, 2021 to Jan 18, 2022
- Discretionary RAUM · $201M to $207MMar 22, 2021 to Jan 18, 2022
- Individual RAUM · $4.0M to $6.0MMar 22, 2021 to Jan 18, 2022
- Non-discretionary RAUM · $0 to $20.0MMar 22, 2021 to Jan 18, 2022
- Pension RAUM · $197M to $221MMar 22, 2021 to Jan 18, 2022
- RAUM · $201M to $227MMar 22, 2021 to Jan 18, 2022
- Accounts · 62 to 68Jun 30, 2020 to Mar 15, 2021
Signals
1 dated events
- 4••• I••••••••• P••••••••• filed its initial SEC registration (Form ADV)Jul 1, 2019 · 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
- Firm profile
- LINKEDIN.COM/COMPANY/25000265reportedpublic record, Form ADV, Sep 18, 2026
- Website
- FACEBOOK/401KINVESTMENTP•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (608) 334-9367reportedpublic record, Form ADV, Mar 10, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $77.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026