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
C•••••• W••••• M••••••••• L••
Latest filing Apr 1, 2026
First filing on the tape Mar 10, 2021 · 17 filings
SEC status approved since Dec 19, 2025
RAUM
$137M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$131M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$137M
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$137M as of Apr 1, 2026
Mar 18, 2022$126M then
HNW client RAUM$111M as of Apr 1, 2026
Mar 18, 2022$91.7M then
State-registered IARs (5.B.3)1 as of Apr 1, 2026
Mar 18, 20223 then
Employees (5.A)4 as of Apr 1, 2026
Mar 18, 20224 then
Private funds: no history
RAUM +13% over the last fiscal year+12% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Apr 1, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $137MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 158derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $308,881derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -11%derived
- Compensation
- percentage of assets, fixed feesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$111M84%
- Individuals$20.6M16%
- Individual clients
- 109reported
- HNW clients
- 49reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 443reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••• A•••• H••••••Certified Financial Planner, Chartered Financial Consultant | Madison, Wi | Aug 19, 2020 | 28 y | 3 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- E••• A•••• H•••••• to P•••• P•••••••• L••Sep 10, 2025 · RIA to a state-registered adviser
- P•••••• T••••• L••••••• to V•••• C•••••• L••Jun 3, 2022 · RIA to a state-registered adviser
- C•••• Y•••• H•••••• to V•••• C•••••• L••Jun 3, 2022 · RIA to a state-registered adviser
- J•••••• E••••• S•••• to E•••••••••Feb 2, 2022 · RIA to RIA
- K••••••• M•••• L•••••••• to T• A•••• I••••••••• H••••• I•••Feb 19, 2021 · RIA to RIA
Joined, latest
- E••• A•••• H•••••• from A••••Feb 13, 2026 · Other
- J•••••• E••••• S•••• from A•• F•••••••• A•••••••• L••Apr 20, 2021 · Other
- C•••• Y•••• H•••••• from B••••• H•••••Jun 16, 2020 · RIA to RIA
- P•••••• T••••• L••••••• from E•••• S••••••••• L••Jul 18, 2019 · Affiliated broker-dealer or bank to independent RIA
- E••• A•••• H•••••• from E•••• S••••••••• L••Jun 19, 2018 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••• E•••• A•••• · Managing Principal/Ccocontrolsince 06/2018 · owns 75% or more
Related persons
Schedule D 7.A
- F••• A•• D••• V•••••••• L••pooled vehicle sponsorn
- P•••• P•••••••• L••investment advisernRAUM $21.4M
- V•••• E•••••• L••pooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Madison, Wi · principal | 1 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Apr 1, 2026HNW share of RAUM moved from 64.0% to 81.0% between the annual amendments of 2025-02-26 and 2026-04-01peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 0 to 443Dec 19, 2025 to Mar 9, 2026
- HNW clients · unset to 49.0Dec 19, 2025 to Mar 9, 2026
- Individual clients · unset to 109.0Dec 19, 2025 to Mar 9, 2026
- Discretionary RAUM · $0 to $137MDec 19, 2025 to Mar 9, 2026
- HNW RAUM · unset to 110535968.0Dec 19, 2025 to Mar 9, 2026
- Individual RAUM · unset to 20578280.0Dec 19, 2025 to Mar 9, 2026
- Non-discretionary RAUM · $0 to $40,500Dec 19, 2025 to Mar 9, 2026
- RAUM · $0 to $137MDec 19, 2025 to Mar 9, 2026
- Accounts · 499 to 0Jul 2, 2025 to Dec 19, 2025
- Advisory activities · 4 to 2Jul 2, 2025 to Dec 19, 2025
- HNW clients · 40.0 to unsetJul 2, 2025 to Dec 19, 2025
- Individual clients · 138.0 to unsetJul 2, 2025 to Dec 19, 2025
- Assets in custody · 3800000.0 to unsetJul 2, 2025 to Dec 19, 2025
- Financial planning clients · 0 to 0Jul 2, 2025 to Dec 19, 2025
- Discretionary RAUM · $121M to $0Jul 2, 2025 to Dec 19, 2025
- HNW RAUM · 77554485.0 to unsetJul 2, 2025 to Dec 19, 2025
- Individual RAUM · 39075620.0 to unsetJul 2, 2025 to Dec 19, 2025
- Non-discretionary RAUM · $18,007 to $0Jul 2, 2025 to Dec 19, 2025
- RAUM · $121M to $0Jul 2, 2025 to Dec 19, 2025
- Accounts · 460 to 499May 30, 2024 to Feb 26, 2025
- HNW clients · 32 to 40May 30, 2024 to Feb 26, 2025
- Individual clients · 143 to 138May 30, 2024 to Feb 26, 2025
- Assets in custody · $27.7M to $3.8MMay 30, 2024 to Feb 26, 2025
- Financial planning clients · 1-10 to 0May 30, 2024 to Feb 26, 2025
- Discretionary RAUM · $101M to $121MMay 30, 2024 to Feb 26, 2025
- HNW RAUM · $71.5M to $77.6MMay 30, 2024 to Feb 26, 2025
- Individual RAUM · $25.4M to $39.1MMay 30, 2024 to Feb 26, 2025
- Non-discretionary RAUM · $311,269 to $18,007May 30, 2024 to Feb 26, 2025
- RAUM · $101M to $121MMay 30, 2024 to Feb 26, 2025
- Assets in custody · unset to 27700000.0Mar 14, 2024 to May 30, 2024
- Accounts · 530 to 460Oct 26, 2023 to Mar 4, 2024
- HNW clients · 35 to 32Oct 26, 2023 to Mar 4, 2024
- Individual clients · 185 to 143Oct 26, 2023 to Mar 4, 2024
- Insurance-licensed employees · 1 to 0Oct 26, 2023 to Mar 4, 2024
- Other offices · 2 to 0Oct 26, 2023 to Mar 4, 2024
- Discretionary RAUM · $96.1M to $101MOct 26, 2023 to Mar 4, 2024
- HNW RAUM · $55.7M to $71.5MOct 26, 2023 to Mar 4, 2024
- Individual RAUM · $37.4M to $25.4MOct 26, 2023 to Mar 4, 2024
- Non-discretionary RAUM · $1.9M to $311,269Oct 26, 2023 to Mar 4, 2024
- RAUM · $98.0M to $101MOct 26, 2023 to Mar 4, 2024
Signals
7 dated events
- C•••••• W••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $120.6M)Dec 20, 2025 · Left the SEC roster · derived
- C•••••• W••••• M••••••••• L•• reported RAUM $0, down 100% from $120.6M (2025-07-02 to 2025-12-19)Dec 19, 2025 · RAUM change · derived
- E••• A•••• H•••••• left C•••••• W••••• M••••••••• L•• for P•••• P•••••••• L•• (registered 2020-08-19)Sep 10, 2025 · Advisor changed firm · fact
- C•••• Y•••• H•••••• left C•••••• W••••• M••••••••• L•• for V•••• C•••••• L•• (registered 2022-03-14)Jun 3, 2022 · Advisor changed firm · fact
- P•••••• T••••• L••••••• left C•••••• W••••• M••••••••• L•• for V•••• C•••••• L•• (registered 2022-03-14)Jun 3, 2022 · Advisor changed firm · fact
- J•••••• E••••• S•••• left C•••••• W••••• M••••••••• L•• for Entrewealth (registered 2021-12-14)Feb 2, 2022 · Advisor changed firm · fact
- C•••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 10, 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
- Principal office phone
- 608-841-1555reportedpublic record, Form ADV, Apr 1, 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
- $137Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026