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
H•••••••• A•••••••• I•••
Latest filing Feb 26, 2026
First filing on the tape Mar 12, 2012 · 40 filings
SEC status approved since Jun 23, 1983
RAUM
$1.9B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
9.8%
$189M individuals and HNW
Advisors
14
registered through the firm on IAPD
RAUM per advisor
$137M
derived; firm RAUM over IAPD count
Employees
26
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$1.9B as of Feb 26, 2026
Mar 12, 2012$4.9B then
HNW client RAUM$168M as of Feb 26, 2026
Mar 9, 2018$88.9M then
State-registered IARs (5.B.3)15 as of Feb 26, 2026
Mar 12, 20120 then
Employees (5.A)26 as of Feb 26, 2026
Mar 15, 201350 then
Private funds: no history
RAUM +1.8% over the last fiscal year+4.3% a year over threeIARs 14 to 15
Practice profile
derived from the filing of Feb 26, 2026; every figure names its basis
- RAUM per advisor
- $137MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 6derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $20.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.9derivedItem 5.A over advisors
- Advisors per office
- 14.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +7.1%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.6%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$1.6B86%
- High-net-worth individuals$168M8.7%
- Corporations and businesses$56.1M2.9%
- Charitable organizations$21.5M1.1%
- Individuals$21.2M1.1%
- Pension and profit-sharing plans$11.4M0.6%
- Individual clients
- 32reported
- HNW clients
- 48reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 93reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.1 fund_share=0.86 institutional_share=0.02 related_bd=false related_bank=false bd_reps=18.0derived
Advisors registered through the firm
14 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• D•••••• C•••• | Milwaukee, Wi | Jan 10, 2002 | 38 y | 0 |
| W•••••• J••• N•••••••• | Milwaukee, Wi | Nov 12, 2003 | 46 y | 1 |
| W•••••• R•••••• N•••••••• | Milwaukee, Wi | May 30, 2006 | 22 y | 0 |
| M•••••• D•••• K••• | Milwaukee, Wi | Dec 11, 2009 | 27 y | 2 |
| N••••• J••••••• B••• | Milwaukee, Wi | Jun 28, 2010 | 28 y | 1 |
| A••••• J••• F••••••Chartered Financial Analyst | Milwaukee, Wi | Oct 14, 2013 | 13 y | 0 |
| C•••• P•••••• M••••Chartered Financial Analyst | Milwaukee, Wi | Oct 18, 2013 | 24 y | 0 |
| T••• W•••••• M••••••Chartered Financial Analyst | Milwaukee, Wi | Oct 16, 2014 | 12 y | 0 |
| L•••• M•••• L••••• | Milwaukee, Wi | Jun 7, 2018 | 14 y | 0 |
| J•••••• J•••• K••• | Milwaukee, Wi | Oct 8, 2019 | 33 y | 2 |
| M•••••• J••• W•••••• | Milwaukee, Wi | Apr 20, 2020 | 10 y | 0 |
| J•••• S•••• W••••••• | Milwaukee, Wi | Mar 31, 2021 | 10 y | 0 |
| K•••• A•• L••••• | Milwaukee, Wi | Nov 1, 2022 | 29 y | 1 |
| W•••••• B•••••• V•••• | Milwaukee, Wi | Nov 5, 2025 | 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 headcount2 left over 36 months
Left, latest
- C••••• C• M•••••• to W•••••• P••••••• L••Sep 4, 2025 · Other
- C••••••• C••••• D••••• to W•••••• B•••• • C•••••• L•••••Aug 27, 2024 · Other
- M•••••• J•••• B••••• to T•••••• W••••• M•••••••••Mar 1, 2018 · Other
- A••• J••••••• P••• to R••••••••• P••••••• L••Jan 29, 2016 · Other
- J••• C•••••• C••••• to M•••••• I••••••••• A•••••••• L••Aug 7, 2015 · Other
- J•••••• J•••• K••• to F••••••• A•••• M••••••••• I•••Jun 30, 2015 · Other
- M•••••• H• D•••••••• to R••••••••• P••••••• L••Jun 30, 2015 · Other
- A••••• W•••• B•••••• to R••••• W• B•••• • C•• I•••••••••Jun 30, 2015 · Other
- C••••••••• P• E•••• to E•••••• A••••••• G••••• L••Oct 24, 2008 · Other
- M•••••• R••• G••••••••• to M•••••• I••••••••• A•••••••• L••Feb 15, 2008 · Other
- D•••• J••••• P••••• to B• C• Z•••••• A•• C••••••Dec 2, 2002 · Other
Joined, latest
- K•••• A•• L••••• from R••••• W• B•••• • C•• I•••••••••Nov 1, 2022 · Other
- J•••••• J•••• K••• from F••••••• A•••• M••••••••• I•••Oct 8, 2019 · Other
- M•••••• D•••• K••• from M••••• S•••••• D• I•••Dec 11, 2009 · Other
- M•••••• R••• G••••••••• from A•••••••• F•••• M••••••••• L••Aug 21, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••• N•••••• J••••••• · Senior Vice President, Chief Financial Officer & Chief Adminstrative Officercontrolsince 05/2010 · owns less than 5%
- F••••••• A•••••• J••• · Vice President & Portfolio Managercontrolsince 06/2012 · owns less than 5%
- K•••• M••••••• D•••• · Vice President Of Salescontrolsince 10/2009 · owns less than 5%
- M••••••• T•••• W•••••• · Vice President & Portfolio Managercontrolsince 06/2014 · owns less than 5%
- M••••• C••••• P•••••• · Vice President & Portfolio Managercontrolsince 06/2009 · owns less than 5%
- N••••••••• W••••••• J••• · Director & Chairmancontrolsince 03/1985 · owns less than 5%
- N••••••••• W••••••• R•••••• · Director, Chief Executive Officer & Portfolio Managercontrolsince 05/2006 · owns less than 5%
- P•••• V•••••• K••• · Vice President, Chief Compliance Officer, General Counsel & Secretarycontrolsince 08/2008 · owns less than 5%
- N••••••••• W••••••• R•••••• · Director & Chief Executive Officer &Trustee Of Trustscontrolsince 05/2006 · owns 75% or more of H•••••••• H•••••••• I•••
Entity owners
- H•••••••• H•••••••• I••• · Shareholderdirect · owns 75% or more
- W•••••• J• N•••••••• G•••••• R••••••• A•••••• T•••• · Trustindirect · owns 25% to 50% of H•••••••• H•••••••• I•••
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 |
|---|---|---|---|---|---|
| Milwaukee, Wi · principal | 14 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 92 to 93Aug 14, 2025 to Feb 26, 2026
- BD registered reps · 17 to 18Aug 14, 2025 to Feb 26, 2026
- HNW clients · 40 to 48Aug 14, 2025 to Feb 26, 2026
- Individual clients · 38 to 32Aug 14, 2025 to Feb 26, 2026
- State-registered IARs · 14 to 15Aug 14, 2025 to Feb 26, 2026
- Discretionary RAUM · $1.9B to $1.9BAug 14, 2025 to Feb 26, 2026
- HNW RAUM · $128M to $168MAug 14, 2025 to Feb 26, 2026
- Individual RAUM · $21.8M to $21.2MAug 14, 2025 to Feb 26, 2026
- Pension RAUM · $11.7M to $11.4MAug 14, 2025 to Feb 26, 2026
- RAUM · $1.9B to $1.9BAug 14, 2025 to Feb 26, 2026
- Accounts · 98 to 92Feb 28, 2024 to Feb 28, 2025
- Advisory employees · 9 to 10Feb 28, 2024 to Feb 28, 2025
- BD registered reps · 15 to 17Feb 28, 2024 to Feb 28, 2025
- HNW clients · 41 to 40Feb 28, 2024 to Feb 28, 2025
- Individual clients · 40 to 38Feb 28, 2024 to Feb 28, 2025
- Employees · 25 to 26Feb 28, 2024 to Feb 28, 2025
- Financial planning clients · unset to Feb 28, 2024 to Feb 28, 2025
- State-registered IARs · 13 to 14Feb 28, 2024 to Feb 28, 2025
- Discretionary RAUM · $2.0B to $1.9BFeb 28, 2024 to Feb 28, 2025
- HNW RAUM · $119M to $128MFeb 28, 2024 to Feb 28, 2025
- Individual RAUM · $23.7M to $21.8MFeb 28, 2024 to Feb 28, 2025
- Pension RAUM · $10.7M to $11.7MFeb 28, 2024 to Feb 28, 2025
- RAUM · $2.0B to $1.9BFeb 28, 2024 to Feb 28, 2025
- Accounts · 93 to 98Mar 2, 2023 to Feb 28, 2024
- Advisory employees · 10 to 9Mar 2, 2023 to Feb 28, 2024
- BD registered reps · 18 to 15Mar 2, 2023 to Feb 28, 2024
- Charity clients · 2.0 to unsetMar 2, 2023 to Feb 28, 2024
- Corporate clients · 6 to 7Mar 2, 2023 to Feb 28, 2024
- HNW clients · 40 to 41Mar 2, 2023 to Feb 28, 2024
- Individual clients · 39 to 40Mar 2, 2023 to Feb 28, 2024
- Pension plan clients · 2.0 to unsetMar 2, 2023 to Feb 28, 2024
- Employees · 27 to 25Mar 2, 2023 to Feb 28, 2024
- State-registered IARs · 16 to 13Mar 2, 2023 to Feb 28, 2024
- Discretionary RAUM · $1.7B to $2.0BMar 2, 2023 to Feb 28, 2024
- HNW RAUM · $108M to $119MMar 2, 2023 to Feb 28, 2024
- Individual RAUM · $20.7M to $23.7MMar 2, 2023 to Feb 28, 2024
- Pension RAUM · $9.7M to $10.7MMar 2, 2023 to Feb 28, 2024
- RAUM · $1.7B to $2.0BMar 2, 2023 to Feb 28, 2024
- Accounts · 97 to 93Apr 18, 2022 to Mar 1, 2023
- BD registered reps · 17 to 18Apr 18, 2022 to Mar 1, 2023
Signals
6 dated events
- C••••• C• M•••••• left H•••••••• A•••••••• I••• for W•••••• P••••••• L•• (registered 2025-09-17)Sep 4, 2025 · Advisor changed firm · fact
- C••••••• C••••• D••••• left H•••••••• A•••••••• I••• for W•••••• B•••• • C•••••• L••••• (registered 2024-08-26)Aug 27, 2024 · Advisor changed firm · fact
- Allen Bradford Evans (Senior Vice President & Portfolio Manager) no longer on Schedule A of H•••••••• A•••••••• I••• (listed 2023-03-02, absent 2024-02-28)Feb 28, 2024 · Control person left · inference
- Jason Matthew Miner (Director, Vice President, Chief Risk Officer & Director Of Trading) no longer on Schedule A of H•••••••• A•••••••• I••• (listed 2022-03-02, absent 2022-04-18)Apr 18, 2022 · Control person left · inference
- William Troy Mcglone (Vice President & Portfolio Manager) appeared on Schedule A of H•••••••• A•••••••• I•••Mar 1, 2022 · Control person joined · fact
- Douglas Kevin Clark (Senior Vice President Equity Trading) no longer on Schedule A of H•••••••• A•••••••• I••• (listed 2021-03-01, absent 2022-03-01)Mar 1, 2022 · Control person left · inference
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
- Firm profile
- LINKEDIN.COM/COMPANY/H••••••••-ADVISORS-INCreportedpublic record, Form ADV, Sep 19, 2026
- Website
- H••••••••FUNDS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 414-347-7777reportedpublic record, Form ADV, Feb 26, 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
- Asset manager (funds and pooled vehicles)deriveda 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