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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Former SEC-registered adviser

O••••••••• I••••••••• A••••••• S••••••• L••

Former SEC-registered adviserWindsor, ConnecticutCRD 285390SEC 801-108528IAPD
Latest filing May 5, 2025
First filing on the tape Oct 7, 2016 · 19 filings
SEC status approved since Oct 17, 2016
RAUM
$5.1B
reported, Item 5.F
Discretionary
12%
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
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$5.1B as of May 5, 2025
Mar 28, 2017$7.1B then
HNW client RAUM$0 as of May 5, 2025
Mar 21, 2018$0 then
State-registered IARs (5.B.3)0 as of May 5, 2025
Mar 28, 20170 then
Employees (5.A)6 as of May 5, 2025
Mar 28, 20177 then
Private funds: no history
RAUM -6.6% over the last fiscal year-8.8% a year over threeIARs 0 to 0offices 2 to 0
Practice profile
derived from the filing of May 5, 2025; 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
$30.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
12%derivedof RAUM
Institutional
100%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
-6.6%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 assetsreportedItem 5.E
Advisory activities
pension consultingreportedItem 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)
  • 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$5.1B100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
166reported
Charitable clients
0reported
Accounts
166reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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••• S••••••• L•••••• · General Counsel & Secretarycontrol
        since 08/2016 · owns less than 5%
      • E••••••• C••••••• L• A•• · Controllercontrol
        since 02/2021 · owns less than 5%
      • M•••••••• S•••••• N•• · Presidentcontrol
        since 01/2019 · owns less than 5%
      • M•••••• S•••• P•••••• · Chief Compliance Officercontrol
        since 09/2017 · owns less than 5%
      • S••••••••• D•••••• J••••• · Vp, Taxcontrol
        since 02/2020 · owns less than 5%
      Entity owners
      • O••••••••• F•••••••• P•••••••• I••• · Sole Member
        direct · owns 75% or more
      • A••••••• U••••• M••••• I•••••••• H•••••• C•••••• · Shareholder
        indirect · owns 75% or more of O••••••••• F•••••••• P•••••••• I•••
      Related persons
      Schedule D 7.A
      Advisers that list O••••••••• I••••••••• A••••••• S••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Wauwatosa, WI1 employees
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Financial planning clients · 0 to 0
        Apr 14, 2025 to May 5, 2025
      • Accounts · 219 to 166
        Mar 28, 2024 to Feb 4, 2025
      • BD registered reps · 5 to 6
        Mar 28, 2024 to Feb 4, 2025
      • Pension plan clients · 219 to 166
        Mar 28, 2024 to Feb 4, 2025
      • HQ city · INDIANAPOLIS to WINDSOR
        Mar 28, 2024 to Feb 4, 2025
      • HQ state · IN to CT
        Mar 28, 2024 to Feb 4, 2025
      • Other offices · 2 to 0
        Mar 28, 2024 to Feb 4, 2025
      • Discretionary RAUM · $701M to $591M
        Mar 28, 2024 to Feb 4, 2025
      • Non-discretionary RAUM · $4.7B to $4.5B
        Mar 28, 2024 to Feb 4, 2025
      • Pension RAUM · $5.5B to $5.1B
        Mar 28, 2024 to Feb 4, 2025
      • RAUM · $5.5B to $5.1B
        Mar 28, 2024 to Feb 4, 2025
      • Related bank · false to true
        Mar 28, 2024 to Feb 4, 2025
      • Accounts · 236 to 219
        May 8, 2023 to Mar 28, 2024
      • Pension plan clients · 236 to 219
        May 8, 2023 to Mar 28, 2024
      • Discretionary RAUM · $671M to $701M
        May 8, 2023 to Mar 28, 2024
      • Non-discretionary RAUM · $4.9B to $4.7B
        May 8, 2023 to Mar 28, 2024
      • Pension RAUM · $5.6B to $5.5B
        May 8, 2023 to Mar 28, 2024
      • RAUM · $5.6B to $5.5B
        May 8, 2023 to Mar 28, 2024
      • Accounts · 238 to 236
        Mar 28, 2022 to Mar 27, 2023
      • Pension plan clients · 238 to 236
        Mar 28, 2022 to Mar 27, 2023
      • Discretionary RAUM · $998M to $671M
        Mar 28, 2022 to Mar 27, 2023
      • Non-discretionary RAUM · $5.7B to $4.9B
        Mar 28, 2022 to Mar 27, 2023
      • Pension RAUM · $6.7B to $5.6B
        Mar 28, 2022 to Mar 27, 2023
      • RAUM · $6.7B to $5.6B
        Mar 28, 2022 to Mar 27, 2023
      • Accounts · 252 to 238
        May 7, 2021 to Mar 28, 2022
      • Pension plan clients · 252 to 238
        May 7, 2021 to Mar 28, 2022
      • Discretionary RAUM · $5.2B to $998M
        May 7, 2021 to Mar 28, 2022
      • Non-discretionary RAUM · $673M to $5.7B
        May 7, 2021 to Mar 28, 2022
      • Pension RAUM · $5.8B to $6.7B
        May 7, 2021 to Mar 28, 2022
      • RAUM · $5.8B to $6.7B
        May 7, 2021 to Mar 28, 2022
      • Accounts · 272 to 252
        Mar 31, 2020 to Mar 31, 2021
      • Pension plan clients · 272 to 252
        Mar 31, 2020 to Mar 31, 2021
      • Other offices · 3 to 2
        Mar 31, 2020 to Mar 31, 2021
      • Discretionary RAUM · $5.1B to $5.2B
        Mar 31, 2020 to Mar 31, 2021
      • Non-discretionary RAUM · $871M to $673M
        Mar 31, 2020 to Mar 31, 2021
      • Pension RAUM · $6.0B to $5.8B
        Mar 31, 2020 to Mar 31, 2021
      • RAUM · $6.0B to $5.8B
        Mar 31, 2020 to Mar 31, 2021
      • Accounts · 300 to 272
        Apr 25, 2019 to Mar 31, 2020
      • Advisory employees · 8 to 6
        Apr 25, 2019 to Mar 31, 2020
      • BD registered reps · 8 to 5
        Apr 25, 2019 to Mar 31, 2020
      Signals
      11 dated events
      • O••••••••• I••••••••• A••••••• S••••••• L•• no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $5.1B)
        Apr 1, 2026 · Left the SEC roster · derived
      • Le Ann C•••••• E•••••• (Controller) appeared on Schedule A of O••••••••• I••••••••• A••••••• S••••••• L••
        Mar 31, 2021 · Control person joined · fact
      • Granville George Graessle (Controller) no longer on Schedule A of O••••••••• I••••••••• A••••••• S••••••• L•• (listed 2020-03-31, absent 2021-03-31)
        Mar 31, 2021 · Control person left · inference
      • David Jeffrey Holley (Chief Financial Officer) no longer on Schedule A of O••••••••• I••••••••• A••••••• S••••••• L•• (listed 2019-04-25, absent 2020-03-31)
        Mar 31, 2020 · Control person left · inference
      • Charles James Crampton (Tax Director) no longer on Schedule A of O••••••••• I••••••••• A••••••• S••••••• L•• (listed 2019-04-25, absent 2020-03-31)
        Mar 31, 2020 · Control person left · inference
      • Joseph Dennis Sandelski (Avp, Tax) appeared on Schedule A of O••••••••• I••••••••• A••••••• S••••••• L••
        Mar 31, 2020 · Control person joined · fact
      • John Andrew Michie (Controller) no longer on Schedule A of O••••••••• I••••••••• A••••••• S••••••• L•• (listed 2018-03-21, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      • Andrew Peter Welsh (President) no longer on Schedule A of O••••••••• I••••••••• A••••••• S••••••• L•• (listed 2018-03-21, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      • Sandra Mccarthy (President) appeared on Schedule A of O••••••••• I••••••••• A••••••• S••••••• L••
        Mar 29, 2019 · Control person joined · fact
      • Granville George Graessle (Controller) appeared on Schedule A of O••••••••• I••••••••• A••••••• S••••••• L••
        Mar 29, 2019 · Control person joined · fact
      • O••••••••• I••••••••• A••••••• S••••••• L•• filed its initial SEC registration (Form ADV)
        Oct 7, 2016 · 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.
      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