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.

Former SEC-registered adviser

Filbrandt Wealth Management, LLC

Former SEC-registered adviserMiddleton, WisconsinCRD 291914SEC 801-112390IAPD
Latest filing Aug 6, 2021
First filing on the tape Jan 3, 2018 · 9 filings
RAUM
$1.1B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$1.1B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
25
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$1.1B as of Mar 24, 2021
Jan 31, 2019$796M then
HNW client RAUM$1.1B as of Mar 24, 2021
Jan 31, 2019$738M then
State-registered IARs (5.B.3)18 as of Mar 24, 2021
Jan 31, 201917 then
Employees (5.A)25 as of Mar 24, 2021
Jan 31, 201923 then
Private funds: no history
RAUM +17% over the last fiscal yearIARs 17 to 18
Practice profile
derived from the filing of Aug 6, 2021; every figure names its basis
RAUM per advisor
$63.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
26derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.0MderivedHNW RAUM over HNW clients
Average account
$2.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.4derivedItem 5.A over advisors
Advisors per office
18.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+17%derivedbetween the last two annual amendments
Advisor growth, one year
+5.9%derivedItem 5.B.3 between annual amendments
Client growth, one year
+6.3%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
Custody
$6.0M, 273 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)
  • 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$1.1B96%
  • Individuals$50.2M4.4%
Individual clients
111reported
HNW clients
358reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
469reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$6.0M for 273 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Jean Patricia Filbrandt · Chief Compliance Officercontrol
    since 01/2018 · owns less than 5%
  • John Michael Filbrandt · Vice Presidentcontrol
    since 05/2010 · owns 50% to 75% of Filbrandt Investment Advisers Incorporated
  • Jean Patricia Filbrandt · President, Secretary And Treasurercontrol
    since 05/2010 · owns 50% to 75% of Filbrandt Investment Advisers Incorporated
  • Richard Travis Cliff · Member
    since 01/2019 · owns 5% to 10%
  • Matthew James Haygood · Member
    since 01/2019 · owns 5% to 10%
  • Lyle Scott Kornstedt · Member
    since 01/2019 · owns less than 5%
Entity owners
  • Filbrandt Investment Advisers Incorporated · Managing Member
    direct · owns 75% or more
Related persons
Schedule D 7.A
  • Filbrandt And Company, Incorporated
    real estaten
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 441 to 469
    Jun 16, 2020 to Mar 24, 2021
  • Advisory employees · 17 to 11
    Jun 16, 2020 to Mar 24, 2021
  • HNW clients · 330 to 358
    Jun 16, 2020 to Mar 24, 2021
  • Assets in custody · unset to 6016937.0
    Jun 16, 2020 to Mar 24, 2021
  • Custody of client assets · false to true
    Jun 16, 2020 to Mar 24, 2021
  • State-registered IARs · 17 to 18
    Jun 16, 2020 to Mar 24, 2021
  • Discretionary RAUM · $962M to $1.1B
    Jun 16, 2020 to Mar 24, 2021
  • HNW RAUM · $923M to $1.1B
    Jun 16, 2020 to Mar 24, 2021
  • Individual RAUM · $50.2M to $50.2M
    Jun 16, 2020 to Mar 24, 2021
  • Non-discretionary RAUM · $11.7M to $12.8M
    Jun 16, 2020 to Mar 24, 2021
  • RAUM · $973M to $1.1B
    Jun 16, 2020 to Mar 24, 2021
  • Accounts · 404 to 441
    May 2, 2019 to Mar 17, 2020
  • Charity clients · 0.0 to unset
    May 2, 2019 to Mar 17, 2020
  • Corporate clients · 0.0 to unset
    May 2, 2019 to Mar 17, 2020
  • HNW clients · 284 to 330
    May 2, 2019 to Mar 17, 2020
  • Individual clients · 120 to 111
    May 2, 2019 to Mar 17, 2020
  • Pension plan clients · 0.0 to unset
    May 2, 2019 to Mar 17, 2020
  • Pooled vehicle clients · 0.0 to unset
    May 2, 2019 to Mar 17, 2020
  • Employees · 23 to 25
    May 2, 2019 to Mar 17, 2020
  • Financial planning clients · 101-250 to 251-500
    May 2, 2019 to Mar 17, 2020
  • Other offices · 1 to 0
    May 2, 2019 to Mar 17, 2020
  • Discretionary RAUM · $782M to $962M
    May 2, 2019 to Mar 17, 2020
  • HNW RAUM · $738M to $923M
    May 2, 2019 to Mar 17, 2020
  • Individual RAUM · $58.0M to $50.2M
    May 2, 2019 to Mar 17, 2020
  • Non-discretionary RAUM · $13.9M to $11.7M
    May 2, 2019 to Mar 17, 2020
  • Pension RAUM · 0.0 to unset
    May 2, 2019 to Mar 17, 2020
  • Pooled vehicle RAUM · 0.0 to unset
    May 2, 2019 to Mar 17, 2020
  • RAUM · $796M to $973M
    May 2, 2019 to Mar 17, 2020
  • Accounts · 377 to 404
    Mar 24, 2018 to Jan 31, 2019
  • Advisory employees · 8 to 17
    Mar 24, 2018 to Jan 31, 2019
  • HNW clients · 267 to 284
    Mar 24, 2018 to Jan 31, 2019
  • Individual clients · 110 to 120
    Mar 24, 2018 to Jan 31, 2019
  • Employees · 15 to 23
    Mar 24, 2018 to Jan 31, 2019
  • Financial planning clients · 251-500 to 101-250
    Mar 24, 2018 to Jan 31, 2019
  • State-registered IARs · 15 to 17
    Mar 24, 2018 to Jan 31, 2019
  • Other offices · 0 to 1
    Mar 24, 2018 to Jan 31, 2019
  • Discretionary RAUM · $756M to $782M
    Mar 24, 2018 to Jan 31, 2019
  • HNW RAUM · $718M to $738M
    Mar 24, 2018 to Jan 31, 2019
  • Individual RAUM · $51.6M to $58.0M
    Mar 24, 2018 to Jan 31, 2019
  • Non-discretionary RAUM · $14.0M to $13.9M
    Mar 24, 2018 to Jan 31, 2019
Signals
2 dated events
  • Filbrandt Wealth Management, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Jan 3, 2018 · Succession (Item 4) · fact
  • Filbrandt Wealth Management, Llc filed its initial SEC registration (Form ADV)
    Jan 3, 2018 · 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