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.
SEC-registered adviser
N.E.W. Advisory Services, LLC
Latest filing Mar 31, 2026
First filing on the tape Oct 16, 2017 · 28 filings
SEC status approved since Nov 15, 2017
RAUM
$1.6B
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
100%
$1.6B individuals and HNW
Advisors
15
registered through the firm on IAPD
RAUM per advisor
$107M
derived; firm RAUM over IAPD count
Employees
23
12 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$1.6B as of Mar 31, 2026
Mar 12, 2018$336M then
HNW client RAUM$808M as of Mar 31, 2026
Mar 12, 2018$229M then
State-registered IARs (5.B.3)12 as of Mar 31, 2026
Mar 12, 20189 then
Employees (5.A)23 as of Mar 31, 2026
Mar 12, 201810 then
Private funds: no history
RAUM +19% over the last fiscal year+24% a year over threeIARs 12 to 12
Practice profile
derived from the filing of Mar 31, 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
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $107MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 323derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $170,880derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 3.0derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assets, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Financial planning clients
- 3,500reportedItem 5.H
- 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
- High-net-worth individuals$808M50%
- Individuals$790M49%
- Corporations and businesses$3.8M0.2%
- Individual clients
- 4,307reported
- HNW clients
- 535reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 9,375reported
- Financial planning clients
- 3,500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, commissionsreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=12.0derived
Advisors registered through the firm
15 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Debra Anne Deleers | De Pere, Wi | Nov 15, 2017 | 11 y | 1 |
| Andrew Robert Hermsen | Hobart, Wi | Nov 22, 2017 | 22 y | 2 |
| Robbie Joseph Hayes | De Pere, Wi | Nov 28, 2017 | 17 y | 3 |
| Michael Gerald Whitehouse | Appleton, Wi | Dec 7, 2017 | 32 y | 1 |
| Michael Joseph Londre | Appleton, Wi | Jan 12, 2018 | 14 y | 2 |
| Evan Arthur HendersonCertified Financial Planner | Appleton, Wi | Feb 24, 2019 | 13 y | 0 |
| Christopher J Lewis | De Pere, Wi | Jun 8, 2021 | 11 y | 0 |
| Peter Irving Johnson | Hobart, Wi | Feb 11, 2022 | 10 y | 0 |
| James Jule Alberts | Green Bay, Wi | Jun 28, 2022 | 29 y | 1 |
| Ryan Michael O'Leary | De Pere, Wi | Oct 26, 2022 | 16 y | 2 |
| Nicholas Gant Zerillo | Green Bay, Wi | Jul 11, 2023 | 25 y | 3 |
| Justin Steinbrinck | Green Bay, Wi | Jul 12, 2023 | 10 y | 1 |
| Brooke Lucille Bradshaw | De Pere, Wi | Jul 25, 2023 | 10 y | 1 |
| Riley Paul SiltmanCertified Financial Planner | Hobart, Wi | Feb 6, 2025 | 12 y | 1 |
| Amy Sue Schmeckpeper | Green Bay, Wi | Jun 17, 2026 | 11 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
- Riley Paul Siltman from Nicolet Wealth ManagementFeb 6, 2025 · RIA to RIA
- Brooke Lucille Bradshaw from Robert W. Baird & Co. IncorporatedJul 25, 2023 · RIA to RIA
- Justin Steinbrinck from Cambridge Investment Research Advisors, Inc.Jul 12, 2023 · Affiliated broker-dealer or bank to independent RIA
- Nicholas Gant Zerillo from Cambridge Investment Research Advisors, Inc.Jul 11, 2023 · Affiliated broker-dealer or bank to independent RIA
- Ryan Michael O'Leary from Nicolet Wealth ManagementOct 26, 2022 · RIA to RIA
- James Jule Alberts from Woodbury Financial Services, Inc.Jun 28, 2022 · Affiliated broker-dealer or bank to independent RIA
- Michael Joseph Londre from Sii Investments, Inc.Jan 12, 2018 · Other
- Michael Gerald Whitehouse from Sii Investments, Inc.Dec 7, 2017 · Other
- Robbie Joseph Hayes from Sii Investments, Inc.Nov 28, 2017 · Other
- Andrew Robert Hermsen from Sii Investments, Inc.Nov 22, 2017 · Other
- Debra Anne Deleers from Sii Investments, Inc.Nov 15, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Cambridge Investment Research Advisors, Inc.Jul 17, 2023 · Green Bay, Wi
- 4 joined from Sii Investments, Inc.Nov 22, 2017 · Hobart, Wi
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Anne Debra Deleers · Membercontrolsince 09/2017 · owns 25% to 50%
- Joseph Robbie Hayes · Member, Chief Compliance Officercontrolsince 11/2017 · owns 25% to 50%
- Robert Andrew Hermsen · Membersince 11/2017 · owns 25% to 50%
- Arthur Michael Johnson · Membersince 11/2017 · owns 10% to 25%
- Gerald Michael Whitehouse · Membersince 11/2017 · owns 25% to 50%
Related persons
Schedule D 7.A
- Andrew Hermseninvestment advisery
- Debra Deleersinvestment advisery
- Evan Hendersoninvestment advisery
- James Albertinvestment adviserinsurancey
- Justin Steinbrinckinvestment advisery
- Michael Johnsoninvestment advisery
- Michael Londreinvestment advisery
- Michael Whitehouseinvestment advisery
- Nicholas Zerilloinvestment advisery
- Peter Johnsoninvestment advisery
- Rob Hayesinvestment advisery
- Ryan O'Learyinvestment advisery
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| De Pere, Wi · principal | 7 | 0 | 0 | ||
| Green Bay, Wi | 5 | 1 | 0 | ||
| Appleton, Wi | 3 | 0 | 0 | ||
| Hobart, Wi | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Hobart, WI4 employees
- Appleton, WI3 employees
- Green Bay, WI2 employees
- Green Bay, WI1 employees
What changed
consecutive filings, newest first
- Accounts · 8,245 to 9,375Aug 13, 2025 to Mar 31, 2026
- Corporate clients · 5 to 20Aug 13, 2025 to Mar 31, 2026
- HNW clients · 461 to 535Aug 13, 2025 to Mar 31, 2026
- Individual clients · 3,881 to 4,307Aug 13, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.3B to $1.5BAug 13, 2025 to Mar 31, 2026
- HNW RAUM · $621M to $808MAug 13, 2025 to Mar 31, 2026
- Individual RAUM · $720M to $790MAug 13, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $52.0M to $52.3MAug 13, 2025 to Mar 31, 2026
- RAUM · $1.3B to $1.6BAug 13, 2025 to Mar 31, 2026
- Accounts · 7,313 to 8,245Apr 10, 2024 to Mar 25, 2025
- Corporate clients · 11 to 5Apr 10, 2024 to Mar 25, 2025
- HNW clients · 401 to 461Apr 10, 2024 to Mar 25, 2025
- Individual clients · 3,357 to 3,881Apr 10, 2024 to Mar 25, 2025
- Financial planning clients · More than 500 to More than 500Apr 10, 2024 to Mar 25, 2025
- Discretionary RAUM · $1.1B to $1.3BApr 10, 2024 to Mar 25, 2025
- HNW RAUM · $497M to $621MApr 10, 2024 to Mar 25, 2025
- Individual RAUM · $601M to $720MApr 10, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $27.5M to $52.0MApr 10, 2024 to Mar 25, 2025
- RAUM · $1.1B to $1.3BApr 10, 2024 to Mar 25, 2025
- Wrap assets (manager) · 3222916.0 to unsetApr 10, 2024 to Mar 25, 2025
- Wrap assets (sponsor) · 0.0 to unsetApr 10, 2024 to Mar 25, 2025
- Accounts · 6,463 to 7,313Dec 7, 2023 to Mar 27, 2024
- Corporate clients · 13 to 11Dec 7, 2023 to Mar 27, 2024
- HNW clients · 194 to 401Dec 7, 2023 to Mar 27, 2024
- Individual clients · 2,395 to 3,357Dec 7, 2023 to Mar 27, 2024
- Discretionary RAUM · $812M to $1.1BDec 7, 2023 to Mar 27, 2024
- HNW RAUM · $310M to $497MDec 7, 2023 to Mar 27, 2024
- Individual RAUM · $528M to $601MDec 7, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $26.4M to $27.5MDec 7, 2023 to Mar 27, 2024
- RAUM · $838M to $1.1BDec 7, 2023 to Mar 27, 2024
- Wrap assets (manager) · $6.0M to $3.2MDec 7, 2023 to Mar 27, 2024
- Advisory employees · 10 to 12Apr 17, 2023 to Jul 25, 2023
- BD registered reps · 10 to 12Apr 17, 2023 to Jul 25, 2023
- Employees · 20 to 23Apr 17, 2023 to Jul 25, 2023
- State-registered IARs · 10 to 12Apr 17, 2023 to Jul 25, 2023
- Other offices · 3 to 4Apr 17, 2023 to Jul 25, 2023
- Accounts · 2,626 to 6,463Nov 17, 2022 to Mar 28, 2023
- Advisory employees · 7 to 10Nov 17, 2022 to Mar 28, 2023
- BD registered reps · 7 to 10Nov 17, 2022 to Mar 28, 2023
- Corporate clients · 12 to 13Nov 17, 2022 to Mar 28, 2023
Signals
4 dated events
- N.E.W. Advisory Services, Llc reported RAUM $1.1B, up 31% from $838.1M (2023-12-07 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- 2 advisors left Cambridge Investment Research Advisors, Inc. (Green Bay, WI) for N.E.W. Advisory Services, LLC on the same dayJul 17, 2023 · Team lift-out · derived
- N.E.W. Advisory Services, Llc reported RAUM $655.4M, up 84% from $356.9M (2019-06-14 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- N.E.W. Advisory Services, Llc filed its initial SEC registration (Form ADV)Oct 16, 2017 · 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
- Website
- alberts-cpa.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 920-712-7800reportedpublic record, Form ADV, Mar 31, 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
- $107Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026