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
M•••••• T•••••• W••••• M••••••••• L••
Latest filing Feb 24, 2026
First filing on the tape May 19, 2021 · 14 filings
SEC status approved since Jun 16, 2021
RAUM
$195M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$191M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$48.7M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$195M as of Feb 24, 2026
Mar 15, 2022$129M then
HNW client RAUM$66.2M as of Feb 24, 2026
Mar 15, 2022$64.4M then
State-registered IARs (5.B.3)4 as of Feb 24, 2026
Mar 15, 20222 then
Employees (5.A)6 as of Feb 24, 2026
Mar 15, 20223 then
Private funds: no history
RAUM +15% over the last fiscal year+19% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Feb 24, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $48.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 107derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $177,638derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.5%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- 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
- Individuals$125M64%
- High-net-worth individuals$66.2M34%
- Charitable organizations$3.7M1.9%
- Individual clients
- 403reported
- HNW clients
- 26reported
- Pension plan clients
- 0reported
- Charitable clients
- 4reported
- Accounts
- 1,096reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 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 |
|---|---|---|---|---|
| M•••••• P• T•••••• | New Prague, Mn | Mar 14, 2019 | 25 y | 1 |
| E••••• J••• P•••• | New Prague, Mn | Mar 18, 2020 | 17 y | 0 |
| T•• J•••• H•••• | New Prague, Mn | Apr 18, 2023 | 21 y | 0 |
| I•••• J•• B•••••• | New Prague, Mn | Mar 28, 2025 | 18 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
- M•••••• P• T•••••• from N•••••• F•••••••• G••••• I•••Mar 14, 2019 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T••••••• M••••••• P• · Managing Member/Investment Advisor Representativecontrolsince 05/2005 · owns 75% or more
- T••••••• C•••••• · Chief Compliance Officersince 10/2023 · owns less than 5%
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 |
|---|---|---|---|---|---|
| New Prague, Mn · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 2 employees
What changed
consecutive filings, newest first
- Accounts · 992 to 1,096Nov 4, 2025 to Feb 24, 2026
- HNW clients · 25 to 26Nov 4, 2025 to Feb 24, 2026
- Individual clients · 378 to 403Nov 4, 2025 to Feb 24, 2026
- Discretionary RAUM · $170M to $195MNov 4, 2025 to Feb 24, 2026
- HNW RAUM · $55.8M to $66.2MNov 4, 2025 to Feb 24, 2026
- Individual RAUM · $111M to $125MNov 4, 2025 to Feb 24, 2026
- RAUM · $170M to $195MNov 4, 2025 to Feb 24, 2026
- Financial planning clients · 0 to 0Mar 28, 2025 to Nov 4, 2025
- Advisory employees · 3 to 4Feb 5, 2025 to Mar 28, 2025
- Employees · 5 to 6Feb 5, 2025 to Mar 28, 2025
- State-registered IARs · 3 to 4Feb 5, 2025 to Mar 28, 2025
- Accounts · 909 to 992Oct 2, 2024 to Feb 5, 2025
- HNW clients · 24 to 25Oct 2, 2024 to Feb 5, 2025
- Individual clients · 346 to 378Oct 2, 2024 to Feb 5, 2025
- Discretionary RAUM · $141M to $170MOct 2, 2024 to Feb 5, 2025
- HNW RAUM · $51.0M to $55.8MOct 2, 2024 to Feb 5, 2025
- Individual RAUM · $86.8M to $111MOct 2, 2024 to Feb 5, 2025
- RAUM · $141M to $170MOct 2, 2024 to Feb 5, 2025
- Other offices · 0 to 1Feb 20, 2024 to Oct 2, 2024
- Accounts · 897 to 909Oct 24, 2023 to Feb 8, 2024
- Charity clients · 3 to 4Oct 24, 2023 to Feb 8, 2024
- HNW clients · 20 to 24Oct 24, 2023 to Feb 8, 2024
- Individual clients · 471 to 346Oct 24, 2023 to Feb 8, 2024
- Employees · 4 to 5Oct 24, 2023 to Feb 8, 2024
- Discretionary RAUM · $128M to $141MOct 24, 2023 to Feb 8, 2024
- HNW RAUM · $37.7M to $51.0MOct 24, 2023 to Feb 8, 2024
- Individual RAUM · $89.4M to $86.8MOct 24, 2023 to Feb 8, 2024
- RAUM · $128M to $141MOct 24, 2023 to Feb 8, 2024
- Accounts · 849 to 897Apr 18, 2023 to Oct 23, 2023
- Charity clients · 4 to 3Apr 18, 2023 to Oct 23, 2023
- Corporate clients · 2 to 0Apr 18, 2023 to Oct 23, 2023
- HNW clients · 24 to 20Apr 18, 2023 to Oct 23, 2023
- Individual clients · 326 to 471Apr 18, 2023 to Oct 23, 2023
- Discretionary RAUM · $115M to $128MApr 18, 2023 to Oct 23, 2023
- HNW RAUM · $42.7M to $37.7MApr 18, 2023 to Oct 23, 2023
- Individual RAUM · $69.4M to $89.4MApr 18, 2023 to Oct 23, 2023
- RAUM · $115M to $128MApr 18, 2023 to Oct 23, 2023
- Advisory employees · 2 to 3Feb 15, 2023 to Apr 18, 2023
- Employees · 3 to 4Feb 15, 2023 to Apr 18, 2023
- State-registered IARs · 2 to 3Feb 15, 2023 to Apr 18, 2023
Signals
1 dated events
- M•••••• T•••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)May 19, 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
- 952-758-8060reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/michael-traxler-wealth-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- michaeltraxler.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 952-758-8060reportedpublic record, Form ADV, Feb 24, 2026
- Contact form
- michaeltraxler.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- michaeltraxler.com/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $48.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026