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
E•••••• A•••• M••••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Jun 10, 2021 · 10 filings
SEC status approved since Oct 22, 2021
RAUM
$198M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
91%
$180M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$39.6M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$198M as of Mar 26, 2026
Mar 31, 2022$120M then
HNW client RAUM$128M as of Mar 26, 2026
Mar 31, 2022$64.1M then
State-registered IARs (5.B.3)5 as of Mar 26, 2026
Mar 31, 20224 then
Employees (5.A)5 as of Mar 26, 2026
Mar 31, 20224 then
Private funds: no history
RAUM +16% over the last fiscal year+20% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 26, 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
- RAUM per advisor
- $39.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 31derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $398,147derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 1.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.7%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, educational seminarsreportedItem 5.G
- Custody
- $36.1M, 37 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)
- 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)
- 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
- High-net-worth individuals$128M65%
- Individuals$51.7M26%
- Corporations and businesses$14.6M7.4%
- Pension and profit-sharing plans$3.4M1.7%
- Individual clients
- 106reported
- HNW clients
- 47reported
- Pension plan clients
- 2reported
- Charitable clients
- 0reported
- Accounts
- 497reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $36.1M for 37 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.91 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• J• P•••••Chartered Financial Analyst | Brookfield, Wi | May 10, 2016 | 15 y | 1 |
| C•••••• J• B••••••••Chartered Financial Analyst | Brookfield, Wi | May 10, 2016 | 15 y | 2 |
| K• R••••• J••• B••••••••Chartered Financial Analyst | Brookfield, Wi | Mar 31, 2017 | 26 y | 1 |
| D•••• D••••• L•••••• | Brookfield, Wi | Jan 17, 2018 | 30 y | 2 |
| A••••• M•••• F••••••••Personal Financial Specialist | Brookfield, Wi | Aug 21, 2024 | 10 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 20% of current headcount1 left over 36 months
Left, latest
- T••••• R••••• S••••• to V•••• C••••••••• L••Mar 23, 2026 · RIA to a state-registered adviser
Joined, latest
- D•••• D••••• L•••••• from J•••••• W••••• I•••Jan 17, 2018 · Other
- K• R••••• J••• B•••••••• from S••••• C•••••• M••••••••• I••Mar 31, 2017 · Other
- M•••••• J• P••••• from J•••••• W••••• I•••May 10, 2016 · Other
- C•••••• J• B•••••••• from C••••• G••• I•••May 10, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••••• C••••••• J• · Managercontrolsince 05/2016 · owns 10% to 25%
- B••••••••• K• R•••••• J••• · Manager/Ccocontrolsince 01/2016 · owns 25% to 50%
- P•••••• M••••••• J• · Managercontrolsince 05/2016 · owns 10% to 25%
- M•••••• B•••••• A•• · Trusteesince 05/2004 · owns F of E••••• P• M••••• J• A•• B••••• A••• M••••• L••••• T•••• U•• D•••• 5••••••
- M•••••• E•••••• P•••••• · Trusteesince 05/2004 · owns F of E••••• P• M••••• J• A•• B••••• A••• M••••• L••••• T•••• U•• D•••• 5••••••
- S••••••• K••••• W• · Trusteesince 05/2006 · owns F of K•••• W• S•••••• R•••••••• T•••• 0•••••••••
Entity owners
- E••••• P• M••••• J• A•• B••••• A••• M••••• L••••• T•••• U•• D•••• 5•••••• · Memberdirect · owns 10% to 25%
- K•••• W• S•••••• R•••••••• T•••• 0••••••••• · Memberdirect · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Brookfield, Wi · principal | 5 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 26, 2026pension consulting (Item 5.G.6): no on the filing of 2025-03-18, yes on the filing of 2026-03-26peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 465 to 497Mar 18, 2025 to Mar 26, 2026
- Advisory activities · 4 to 5Mar 18, 2025 to Mar 26, 2026
- HNW clients · 46 to 47Mar 18, 2025 to Mar 26, 2026
- Individual clients · 103 to 106Mar 18, 2025 to Mar 26, 2026
- Assets in custody · $42.1M to $36.1MMar 18, 2025 to Mar 26, 2026
- Discretionary RAUM · $166M to $193MMar 18, 2025 to Mar 26, 2026
- HNW RAUM · $107M to $128MMar 18, 2025 to Mar 26, 2026
- Individual RAUM · $41.6M to $51.7MMar 18, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $4.7M to $4.9MMar 18, 2025 to Mar 26, 2026
- Pension RAUM · $3.0M to $3.4MMar 18, 2025 to Mar 26, 2026
- RAUM · $171M to $198MMar 18, 2025 to Mar 26, 2026
- Accounts · 428 to 465Mar 19, 2024 to Mar 18, 2025
- Advisory employees · 4 to 5Mar 19, 2024 to Mar 18, 2025
- HNW clients · 43 to 46Mar 19, 2024 to Mar 18, 2025
- Individual clients · 100 to 103Mar 19, 2024 to Mar 18, 2025
- Pension plan clients · 1 to 2Mar 19, 2024 to Mar 18, 2025
- Assets in custody · $43.2M to $42.1MMar 19, 2024 to Mar 18, 2025
- Employees · 4 to 5Mar 19, 2024 to Mar 18, 2025
- Financial planning clients · 0 to 0Mar 19, 2024 to Mar 18, 2025
- State-registered IARs · 4 to 5Mar 19, 2024 to Mar 18, 2025
- Discretionary RAUM · $133M to $166MMar 19, 2024 to Mar 18, 2025
- HNW RAUM · $78.3M to $107MMar 19, 2024 to Mar 18, 2025
- Individual RAUM · $36.4M to $41.6MMar 19, 2024 to Mar 18, 2025
- Non-discretionary RAUM · $3.2M to $4.7MMar 19, 2024 to Mar 18, 2025
- Pension RAUM · $2.8M to $3.0MMar 19, 2024 to Mar 18, 2025
- RAUM · $136M to $171MMar 19, 2024 to Mar 18, 2025
- Accounts · 396 to 428Nov 1, 2023 to Mar 19, 2024
- Advisory activities · 5 to 4Nov 1, 2023 to Mar 19, 2024
- HNW clients · 42 to 43Nov 1, 2023 to Mar 19, 2024
- Individual clients · 92 to 100Nov 1, 2023 to Mar 19, 2024
- Assets in custody · unset to 43222505.0Nov 1, 2023 to Mar 19, 2024
- Custody of client assets · false to trueNov 1, 2023 to Mar 19, 2024
- Financial planning clients · 101-250 to 0Nov 1, 2023 to Mar 19, 2024
- Discretionary RAUM · $113M to $133MNov 1, 2023 to Mar 19, 2024
- HNW RAUM · $65.5M to $78.3MNov 1, 2023 to Mar 19, 2024
- Individual RAUM · $31.0M to $36.4MNov 1, 2023 to Mar 19, 2024
- Non-discretionary RAUM · $2.6M to $3.2MNov 1, 2023 to Mar 19, 2024
- Pension RAUM · $2.5M to $2.8MNov 1, 2023 to Mar 19, 2024
- RAUM · $115M to $136MNov 1, 2023 to Mar 19, 2024
- Accounts · 359 to 396Mar 31, 2022 to Mar 22, 2023
Signals
2 dated events
- T••••• R••••• S••••• left E•••••• A•••• M••••••••• L•• for V•••• C••••••••• L•• (registered 2026-03-10)Mar 23, 2026 · Advisor changed firm · fact
- E•••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 10, 2021 · 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
- 262-754-5299reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- E••••••AM.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 262-754-5299reportedpublic record, Form ADV, Mar 26, 2026
- Contact form
- entasisam.com/contact-usreportedpublished by the firm, firm site, Sep 17, 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
- $39.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026