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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SEC-registered adviser
S•••• M•••• A•••• M••••••••• L••
Latest filing Mar 11, 2026
First filing on the tape Jul 28, 2022 · 13 filings
SEC status approved since Aug 29, 2022
RAUM
$292M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$275M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$97.2M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$292M as of Mar 11, 2026
Mar 15, 2023$199M then
HNW client RAUM$221M as of Mar 11, 2026
Mar 15, 2023$186M then
State-registered IARs (5.B.3)3 as of Mar 11, 2026
Mar 15, 20233 then
Employees (5.A)3 as of Mar 11, 2026
Mar 15, 20233 then
Private funds1 as of Mar 11, 2026
Mar 15, 20231 then
RAUM +13% over the last fiscal year+14% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 11, 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
- ria with p•••••• funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $97.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 67derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.3MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.5%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, pension consulting, selection of other advisersreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$221M76%
- Individuals$54.8M19%
- Pooled investment vehicles$10.0M3.4%
- Corporations and businesses$6.0M2.1%
- Charitable organizations$224,6930.1%
- Individual clients
- 160reported
- HNW clients
- 42reported
- Pension plan clients
- n/areported
- Charitable clients
- 3reported
- Accounts
- 210reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.94 fund_share=0.03 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 |
|---|---|---|---|---|
| J••••• P••• S•••••Certified Financial Planner | Sister Bay, Wi | Jan 8, 2016 | 28 y | 4 |
| T••••••• M•••••• J•••Chartered Financial Analyst | Neenah, Wi | Jan 14, 2016 | 25 y | 0 |
| A•• E•••• Z•••••• | Sister Bay, Wi | May 5, 2021 | 12 y | 5 |
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
- A•• E•••• Z•••••• from C••••• I••••••••• A••••••• L••May 5, 2021 · Affiliated broker-dealer or bank to independent RIA
- J••••• P••• S••••• from A•••••• A•••• M••••••••• L••Jan 8, 2016 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••• P•••••• O••••••••• F•••• L•• | Hedge Fund | $3.0M | 8 | Jul 28, 2022 |
Owners and control persons
Schedule A and B, latest filing
- J•••• T•••••••• M•••••• · Chief Investment Officercontrolsince 01/2016 · owns 50% to 75%
- S•••••• J•••••• P••• · President And Chief Compliance Officercontrolsince 01/2016 · owns 50% to 75%
Related persons
Schedule D 7.A
- C••• C•••••• P•••••••• L••pooled vehicle sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Sister Bay, Wi · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Neenah, WI1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 11, 2026pension consulting (Item 5.G.6): no on the filing of 2025-10-08, yes on the filing of 2026-03-11peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 205 to 210Oct 8, 2025 to Mar 11, 2026
- Advisory activities · 4 to 5Oct 8, 2025 to Mar 11, 2026
- HNW clients · 50 to 42Oct 8, 2025 to Mar 11, 2026
- Individual clients · 149 to 160Oct 8, 2025 to Mar 11, 2026
- Discretionary RAUM · $259M to $292MOct 8, 2025 to Mar 11, 2026
- HNW RAUM · $202M to $221MOct 8, 2025 to Mar 11, 2026
- Individual RAUM · $45.7M to $54.8MOct 8, 2025 to Mar 11, 2026
- Pooled vehicle RAUM · $6.0M to $10.0MOct 8, 2025 to Mar 11, 2026
- RAUM · $259M to $292MOct 8, 2025 to Mar 11, 2026
- Financial planning clients · 0 to 0Mar 7, 2025 to Oct 8, 2025
- Accounts · 188 to 205Aug 13, 2024 to Mar 7, 2025
- HNW clients · 36 to 50Aug 13, 2024 to Mar 7, 2025
- Individual clients · 146 to 149Aug 13, 2024 to Mar 7, 2025
- Discretionary RAUM · $215M to $259MAug 13, 2024 to Mar 7, 2025
- HNW RAUM · $157M to $202MAug 13, 2024 to Mar 7, 2025
- Individual RAUM · $46.8M to $45.7MAug 13, 2024 to Mar 7, 2025
- Pooled vehicle RAUM · $5.3M to $6.0MAug 13, 2024 to Mar 7, 2025
- RAUM · $215M to $259MAug 13, 2024 to Mar 7, 2025
- Accounts · 175 to 188Nov 22, 2023 to Feb 8, 2024
- Charity clients · unset to 3.0Nov 22, 2023 to Feb 8, 2024
- Corporate clients · unset to 2.0Nov 22, 2023 to Feb 8, 2024
- HNW clients · 170 to 36Nov 22, 2023 to Feb 8, 2024
- Individual clients · 4 to 146Nov 22, 2023 to Feb 8, 2024
- Discretionary RAUM · $192M to $215MNov 22, 2023 to Feb 8, 2024
- HNW RAUM · $186M to $157MNov 22, 2023 to Feb 8, 2024
- Individual RAUM · $7.2M to $46.8MNov 22, 2023 to Feb 8, 2024
- Non-discretionary RAUM · $7.2M to $0Nov 22, 2023 to Feb 8, 2024
- Pooled vehicle RAUM · $5.6M to $5.3MNov 22, 2023 to Feb 8, 2024
- RAUM · $199M to $215MNov 22, 2023 to Feb 8, 2024
- Accounts · 170 to 175Jul 28, 2022 to Mar 15, 2023
- Advisory activities · 5 to 4Jul 28, 2022 to Mar 15, 2023
- HNW clients · 165 to 170Jul 28, 2022 to Mar 15, 2023
- Financial planning clients · 1-10 to 0Jul 28, 2022 to Mar 15, 2023
- State-registered IARs · 2 to 3Jul 28, 2022 to Mar 15, 2023
- Discretionary RAUM · $186M to $192MJul 28, 2022 to Mar 15, 2023
- HNW RAUM · $183M to $186MJul 28, 2022 to Mar 15, 2023
- Individual RAUM · $7.5M to $7.2MJul 28, 2022 to Mar 15, 2023
- Non-discretionary RAUM · $7.5M to $7.2MJul 28, 2022 to Mar 15, 2023
- Pooled vehicle RAUM · $3.0M to $5.6MJul 28, 2022 to Mar 15, 2023
- RAUM · $194M to $199MJul 28, 2022 to Mar 15, 2023
Signals
1 dated events
- S•••• M•••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jul 28, 2022 · 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
- 920-585-4985reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 920-944-5480reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/70762760reportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 9205854985reportedpublic record, Form ADV, Mar 11, 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
- $97.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026