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

T•••••• W••••• M•••••••••

Independent wealth managerCRD 292959SEC 801-132252websiteIAPD
Latest filing Feb 11, 2026
First filing on the tape Feb 24, 2025 · 5 filings
SEC status approved since Mar 26, 2025
RAUM
$176M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$175M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$87.9M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$176M as of Feb 11, 2026
Feb 24, 2025$135M then
HNW client RAUM$154M as of Feb 11, 2026
Feb 24, 2025$112M then
State-registered IARs (5.B.3)2 as of Feb 11, 2026
Feb 24, 20252 then
Employees (5.A)2 as of Feb 11, 2026
Feb 24, 20252 then
Private funds: no history
RAUM +30% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Feb 11, 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
$87.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
53derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.0MderivedHNW RAUM over HNW clients
Average account
$432,835derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+30%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+15%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Custody
$57.6M, 51 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$154M88%
  • Individuals$20.4M12%
  • Corporations and businesses$1.0M0.6%
Individual clients
53reported
HNW clients
52reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
406reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$57.6M for 51 clientsreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
A••••• N•••••Certified Financial PlannerMuskego, Wi Mar 8, 201810 y1
M•••••• J•••• B•••••Muskego, WiAug 28, 201816 y1
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B•••••• M••••••• J•••• · Managing Membercontrol
      since 03/2018 · owns 25% to 50%
    • B••••• I••• L••••••• · Partnercontrol
      since 03/2018 · owns 5% to 10%
    • H••••• J••••• · Partnercontrol
      since 03/2018 · owns 5% to 10%
    • M••••••• C••••••••• N• · Managing Membercontrol
      since 11/2017 · owns 25% to 50%
    • N•••••• A••••• · Managing Member/ Chief Compliance Officercontrol
      since 11/2017 · owns 25% to 50%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Muskego, Wi200
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 345 to 406
      Nov 18, 2025 to Feb 11, 2026
    • HNW clients · 36 to 52
      Nov 18, 2025 to Feb 11, 2026
    • Individual clients · 55 to 53
      Nov 18, 2025 to Feb 11, 2026
    • Assets in custody · $53.8M to $57.6M
      Nov 18, 2025 to Feb 11, 2026
    • Discretionary RAUM · $135M to $176M
      Nov 18, 2025 to Feb 11, 2026
    • HNW RAUM · $112M to $154M
      Nov 18, 2025 to Feb 11, 2026
    • Individual RAUM · $22.6M to $20.4M
      Nov 18, 2025 to Feb 11, 2026
    • RAUM · $135M to $176M
      Nov 18, 2025 to Feb 11, 2026
    • Financial planning clients · 0 to 0
      Aug 27, 2025 to Nov 18, 2025
    Signals
    No event on the tape.
    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
    Principal office phone
    262-989-8551reportedpublic record, Form ADV, Feb 11, 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
    $87.9Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026