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

Avaii Wealth Management, LLC

Independent wealth managerAppleton, WisconsinCRD 298165SEC 801-113937website IAPD

Latest filing Sep 10, 2026

First filing on the tape Aug 6, 2018 · 48 filings

SEC status approved since Sep 6, 2018

RAUM

$603M

reported, Item 5.F

Discretionary

99%

of RAUM

Private clients

97%

$584M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$67.0M

derived; firm RAUM over IAPD count

Employees

10 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

48 filings and snapshots on the tape

RAUM$603M as of Jul 1, 2026

Mar 8, 2019$115M then

HNW client RAUM$316M as of Jul 1, 2026

Mar 8, 2019$53.5M then

State-registered IARs (5.B.3)9 as of Jul 1, 2026

Mar 8, 20194 then

Employees (5.A)18 as of Jul 1, 2026

Mar 8, 201910 then

Private funds: no history

RAUM +36% over the last fiscal year+26% a year over threeIARs 7 to 9

Practice profile

derived from the filing of Sep 10, 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: $67.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 110derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.7MderivedHNW RAUM over HNW clients
Average account: $205,928derivedRAUM over accounts (5.F.2.f)
Discretionary: 99%derivedof RAUM
Institutional: 3.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 9.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +36%derivedbetween the last two annual amendments
Advisor growth, one year: +29%derivedItem 5.B.3 between annual amendments
Client growth, one year: +22%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 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

is an insurance broker or agent (6.A.6)
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 testimonials (5.L.1.c)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$316M52%
Individuals$268M44%
Pension and profit-sharing plans$16.4M2.7%
Charitable organizations$2.0M0.3%

Individual clients: 802reported
HNW clients: 184reported
Pension plan clients: 9reported
Charitable clients: n/areported
Accounts: 2,927reported
Financial planning clients: 51-100reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd= related_bank= bd_reps=0.0derived

Advisors registered through the firm

9 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
Joel Thomas BlattnerCertified Financial Planner	Appleton, Wi	Sep 6, 2018	18 y	4
Mark David Truettner	Appleton, Wi	Sep 7, 2018	15 y	1
William D Fenili	Appleton, Wi	Aug 5, 2021	36 y	3
Charity Lynn Schiltz	Appleton, Wi	Sep 5, 2023	19 y	2
Christian James Doule	Appleton, Wi	Jan 18, 2024	19 y	1
Mark Anthony Nelessen	Appleton, Wi	Dec 26, 2024	19 y	0
David Robert JensenCertified Financial Planner	Appleton, Wi	Jan 1, 2025	19 y	1
Kole Purtell	Appleton, Wi	Apr 14, 2025	10 y	0
Claus Peter KerntkeCertified Financial Planner	Appleton, Wi	Jul 2, 2025	40 y	2

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 headcount3 left over 36 months

Left, latest

Joseph Maestas to Johnson Wealth Inc.
Aug 4, 2025 · RIA to RIA
Jeffrey James Rainer to Lifeworks Advisors, LLC
Sep 3, 2024 · RIA to RIA
Samuel K Mullins to Cliftonlarsonallen Wealth Advisors, LLC
Oct 3, 2023 · RIA to affiliated broker-dealer or bank

Joined, latest

Claus Peter Kerntke from Kom Wealth Management Group, LLC
Jul 2, 2025 · RIA to RIA
David Robert Jensen from Thrivent Investment Management Inc.
Jan 1, 2025 · Affiliated broker-dealer or bank to independent RIA
Christian James Doule from Northwestern Mutual Investment Services,LLC
Jan 18, 2024 · Other
Charity Lynn Schiltz from Thrivent Investment Management Inc.
Sep 5, 2023 · Affiliated broker-dealer or bank to independent RIA
William D Fenili from J.P. Morgan Securities LLC
Aug 5, 2021 · Wirehouse to independent RIA
Mark David Truettner from Northwestern Mutual Investment Services,LLC
Sep 7, 2018 · Other
Joel Thomas Blattner from Northwestern Mutual Investment Services,LLC
Sep 6, 2018 · Other
Jeffrey James Rainer from Northwestern Mutual Investment Services,LLC
Sep 6, 2018 · Other

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 joined from Thrivent Investment Management Inc.
Sep 6, 2023 · New London, Wi
4 joined from Northwestern Mutual Investment Services,LLC
Sep 6, 2018 · Appleton, Wi

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

Thomas Joel Blattner · Member / Director Of Investments / Chief Compliance Officercontrol
since 07/2018 · owns less than 5%
James Christian Doule · Managing Member / Wealth Management Advisorcontrol
since 07/2018 · owns 50% to 75%
David Mark Truettner · Member / Wealth Management Advisorcontrol
since 01/2020 · owns 10% to 25%
Robert David Jensen · Member / Wealth Advisor
since 07/2024 · owns 10% to 25%

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
Appleton, Wi · principal	9	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Financial planning clients · 51-100 to 51-100
Jul 1, 2026 to Sep 10, 2026
Related adviser · false to unset
Jul 1, 2026 to Sep 10, 2026
Related bank · false to unset
Jul 1, 2026 to Sep 10, 2026
Related broker-dealer · false to unset
Jul 1, 2026 to Sep 10, 2026
Related insurance company · false to unset
Jul 1, 2026 to Sep 10, 2026
Succession · false to unset
Jul 1, 2026 to Sep 10, 2026
Accounts · 2,402 to 2,927
Dec 18, 2025 to Mar 9, 2026
Advisory employees · 9 to 10
Dec 18, 2025 to Mar 9, 2026
HNW clients · 146 to 184
Dec 18, 2025 to Mar 9, 2026
Individual clients · 663 to 802
Dec 18, 2025 to Mar 9, 2026
Pension plan clients · unset to 9.0
Dec 18, 2025 to Mar 9, 2026
Employees · 17 to 18
Dec 18, 2025 to Mar 9, 2026
Discretionary RAUM · $428M to $594M
Dec 18, 2025 to Mar 9, 2026
HNW RAUM · $229M to $316M
Dec 18, 2025 to Mar 9, 2026
Individual RAUM · $211M to $268M
Dec 18, 2025 to Mar 9, 2026
Non-discretionary RAUM · $15.1M to $9.0M
Dec 18, 2025 to Mar 9, 2026
Pension RAUM · unset to 16400000.0
Dec 18, 2025 to Mar 9, 2026
RAUM · $443M to $603M
Dec 18, 2025 to Mar 9, 2026
Advisory employees · 10 to 9
Jul 2, 2025 to Aug 20, 2025
Employees · 14 to 17
Jul 2, 2025 to Aug 20, 2025
State-registered IARs · 7 to 9
Jul 2, 2025 to Aug 20, 2025
Financial planning clients · 51-100 to 51-100
Apr 17, 2025 to Jul 2, 2025
Accounts · 2,243 to 2,402
Dec 24, 2024 to Jan 21, 2025
Advisory employees · 7 to 10
Dec 24, 2024 to Jan 21, 2025
HNW clients · 154 to 146
Dec 24, 2024 to Jan 21, 2025
Individual clients · 616 to 663
Dec 24, 2024 to Jan 21, 2025
Pension plan clients · 8.0 to unset
Dec 24, 2024 to Jan 21, 2025
Employees · 15 to 14
Dec 24, 2024 to Jan 21, 2025
Financial planning clients · 11-25 to 51-100
Dec 24, 2024 to Jan 21, 2025
Discretionary RAUM · $399M to $428M
Dec 24, 2024 to Jan 21, 2025
HNW RAUM · $227M to $229M
Dec 24, 2024 to Jan 21, 2025
Individual RAUM · $171M to $211M
Dec 24, 2024 to Jan 21, 2025
Non-discretionary RAUM · $10.3M to $15.1M
Dec 24, 2024 to Jan 21, 2025
Pension RAUM · 8817577.0 to unset
Dec 24, 2024 to Jan 21, 2025
RAUM · $410M to $443M
Dec 24, 2024 to Jan 21, 2025
Advisory employees · 8 to 7
Jul 30, 2024 to Sep 9, 2024
Employees · 16 to 15
Jul 30, 2024 to Sep 9, 2024
State-registered IARs · 8 to 7
Jul 30, 2024 to Sep 9, 2024
Accounts · 1,775 to 2,243
Dec 13, 2023 to Feb 9, 2024
HNW clients · 136 to 154
Dec 13, 2023 to Feb 9, 2024

Signals

11 dated events

Avaii Wealth Management, Llc reported RAUM $602.8M, up 36% from $442.6M (2025-12-18 to 2026-03-09)
Mar 9, 2026 · RAUM change · derived
Joseph Maestas left Avaii Wealth Management, Llc for Johnson Wealth Inc. (registered 2025-07-31)
Aug 4, 2025 · Advisor changed firm · fact
Jeffrey James Rainer left Avaii Wealth Management, Llc for Lifeworks Advisors, Llc (registered 2024-09-04)
Sep 3, 2024 · Advisor changed firm · fact
Avaii Wealth Management, Llc reported RAUM $409.6M, up 35% from $303.7M (2023-12-13 to 2024-02-09)
Feb 9, 2024 · RAUM change · derived
Samuel K Mullins left Avaii Wealth Management, Llc for Cliftonlarsonallen Wealth Advisors, Llc (registered 2024-01-12)
Oct 3, 2023 · Advisor changed firm · fact
2 advisors left Thrivent Investment Management Inc. (New London, WI) for Avaii Wealth Management, LLC a day apart
Sep 6, 2023 · Team lift-out · derived
Michael Aaron Skurr (Chief Compliance Officer) no longer on Schedule A of Avaii Wealth Management, Llc (listed 2023-02-15, absent 2023-04-14)
Apr 14, 2023 · Control person left · inference
James Jeffrey Rainer (Member / Wealth Management Advisor) no longer on Schedule A of Avaii Wealth Management, Llc (listed 2021-05-10, absent 2021-09-13)
Sep 13, 2021 · Control person left · inference
David Mark Truettner (Member / Wealth Management Advisor) appeared on Schedule A of Avaii Wealth Management, Llc
Mar 16, 2020 · Control person joined · fact
Michael Aaron Skurr (Chief Compliance Officer) appeared on Schedule A of Avaii Wealth Management, Llc
Oct 14, 2019 · Control person joined · fact
Avaii Wealth Management, Llc filed its initial SEC registration (Form ADV)
Aug 6, 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.

How to reach

public business contact points only, each with its source

Business email: abby@avaii.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: avaii@avaii.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: ben@avaii.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: cindy@avaii.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: gillian@avaii.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: jada@avaii.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: malorie@avaii.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: mark@avaii.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: peter@avaii.comreportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 920-214-1212reportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 920-214-1216reportedpublished by the firm, firm site, Sep 15, 2026
Firm profile: linkedin.com/company/avaii-wealth-managementreportedpublic record, Form ADV, Sep 17, 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: $67.0Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026