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
C•• A•••• M••••••••• I•••
Latest filing Mar 2, 2026
First filing on the tape Oct 10, 2024 · 8 filings
SEC status approved since Dec 6, 2024
RAUM
$147M
reported, Item 5.F
Discretionary
85%
of RAUM
Private clients
92%
$135M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$29.4M
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
8 filings and snapshots on the tape
RAUM$147M as of Mar 2, 2026
Feb 26, 2025$110M then
HNW client RAUM$86.9M as of Mar 2, 2026
Feb 26, 2025$45.2M then
State-registered IARs (5.B.3)5 as of Mar 2, 2026
Feb 26, 20255 then
Employees (5.A)5 as of Mar 2, 2026
Feb 26, 20255 then
Private funds: no history
RAUM +33% over the last fiscal yearIARs 5 to 5
Practice profile
derived from the filing of Mar 2, 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
- $29.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 76derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $887,182derivedHNW RAUM over HNW clients
- Average account
- $126,625derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 85%derivedof RAUM
- Institutional
- 8.1%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
- +33%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$86.9M59%
- Individuals$48.1M33%
- Pension and profit-sharing plans$11.9M8.1%
- Corporations and businesses$3,0120.0%
- Individual clients
- 283reported
- HNW clients
- 98reported
- Pension plan clients
- 4reported
- Charitable clients
- n/areported
- Accounts
- 1,160reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.08 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 |
|---|---|---|---|---|
| D••••• J••• D•••••••Chartered Financial Consultant | Madison, Wi | Jun 27, 2016 | 21 y | 2 |
| S•••• M• L••••• | Madison, Wi | Jun 27, 2016 | 19 y | 2 |
| M•••••• D••••• V••••• | Madison, Wi | Jun 22, 2017 | 10 y | 0 |
| J•••• C•••••• S•••••Certified Financial Planner | Madison, Wi | Jul 31, 2019 | 10 y | 0 |
| M•••••• R••••• Z••••Certified Financial Planner | Madison, Wi | Jul 12, 2023 | 10 y | 0 |
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
- D••••• J••• D••••••• from W••••••• F•••••••• S•••••••• I•••Jun 27, 2016 · Other
- S•••• M• L••••• from W••••••• F•••••••• S•••••••• I•••Jun 27, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from W••••••• F•••••••• S•••••••• I•••Jun 29, 2016 · Naples, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••••• D•••••• J••• · Chief Financial Officercontrolsince 04/2016 · owns 50% to 75%
- L•••••• S••••• M• · Chief Compliance Officercontrolsince 04/2016 · owns 50% to 75%
Related persons
Schedule D 7.A
- C•••••• L•••• F••••••••• L••real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Madison, Wi · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 2, 2026HNW share of RAUM moved from 41.0% to 59.0% between the annual amendments of 2025-02-26 and 2026-03-02peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 990 to 1,160Feb 26, 2025 to Mar 2, 2026
- HNW clients · 27 to 98Feb 26, 2025 to Mar 2, 2026
- Individual clients · 358 to 283Feb 26, 2025 to Mar 2, 2026
- Financial planning clients · 1-10 to 51-100Feb 26, 2025 to Mar 2, 2026
- Discretionary RAUM · $92.1M to $125MFeb 26, 2025 to Mar 2, 2026
- HNW RAUM · $45.2M to $86.9MFeb 26, 2025 to Mar 2, 2026
- Individual RAUM · $56.8M to $48.1MFeb 26, 2025 to Mar 2, 2026
- Non-discretionary RAUM · $18.4M to $22.2MFeb 26, 2025 to Mar 2, 2026
- Pension RAUM · $8.4M to $11.9MFeb 26, 2025 to Mar 2, 2026
- RAUM · $110M to $147MFeb 26, 2025 to Mar 2, 2026
- Accounts · 927 to 990Dec 26, 2024 to Feb 26, 2025
- Corporate clients · unset to 1.0Dec 26, 2024 to Feb 26, 2025
- HNW clients · 91 to 27Dec 26, 2024 to Feb 26, 2025
- Individual clients · 431 to 358Dec 26, 2024 to Feb 26, 2025
- Financial planning clients · 51-100 to 1-10Dec 26, 2024 to Feb 26, 2025
- Discretionary RAUM · $87.7M to $92.1MDec 26, 2024 to Feb 26, 2025
- HNW RAUM · $40.4M to $45.2MDec 26, 2024 to Feb 26, 2025
- Individual RAUM · $57.2M to $56.8MDec 26, 2024 to Feb 26, 2025
- Non-discretionary RAUM · $18.2M to $18.4MDec 26, 2024 to Feb 26, 2025
- Pension RAUM · $8.4M to $8.4MDec 26, 2024 to Feb 26, 2025
- RAUM · $106M to $110MDec 26, 2024 to Feb 26, 2025
- Accounts · 767 to 927Oct 10, 2024 to Oct 30, 2024
- HNW clients · 75 to 91Oct 10, 2024 to Oct 30, 2024
- Individual clients · 238 to 431Oct 10, 2024 to Oct 30, 2024
- Pension plan clients · 3 to 4Oct 10, 2024 to Oct 30, 2024
- Discretionary RAUM · $66.0M to $87.7MOct 10, 2024 to Oct 30, 2024
- HNW RAUM · $44.9M to $40.4MOct 10, 2024 to Oct 30, 2024
- Individual RAUM · $37.2M to $57.2MOct 10, 2024 to Oct 30, 2024
- Non-discretionary RAUM · $23.0M to $18.2MOct 10, 2024 to Oct 30, 2024
- Pension RAUM · $6.9M to $8.4MOct 10, 2024 to Oct 30, 2024
- RAUM · $89.0M to $106MOct 10, 2024 to Oct 30, 2024
Signals
1 dated events
- C•• A•••• M••••••••• I••• filed its initial SEC registration (Form ADV)Oct 10, 2024 · 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
- 888-505-3956reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 888-514-4196reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- w••.c•••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 8885053956reportedpublic record, Form ADV, Mar 2, 2026
- Contact form
- c•••••••.comreportedpublished 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
- $29.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026