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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Former SEC-registered adviser
S•••••••• W••••• M•••••••••
Legal name S•••••••• F••••••••• L••
Latest filing Mar 3, 2025
First filing on the tape May 19, 2022 · 16 filings
SEC status approved since Jun 23, 2022
RAUM
$601M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$601M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
4 advisory (5.B.1)
Offices
7
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$601M as of Mar 3, 2025
Mar 20, 2023$184M then
HNW client RAUM$599M as of Mar 3, 2025
Mar 20, 2023$122M then
State-registered IARs (5.B.3)6 as of Mar 3, 2025
Mar 20, 20233 then
Employees (5.A)10 as of Mar 3, 2025
Mar 20, 20235 then
Private funds: no history
RAUM +78% over the last fiscal yearIARs 6 to 6offices 6 to 7
Practice profile
derived from the filing of Mar 3, 2025; every figure names its basis
- RAUM per advisor
- $100MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 91derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $458,056derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 0.8derived8 offices incl. principal (1.F.5)
- RAUM growth, one year
- +78%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +153%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
- 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$599M100%
- Individuals$2.5M0.4%
- Individual clients
- 278reported
- HNW clients
- 265reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,312reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
- A•••••• J••• H••••••••• to M•••• F•••••••• A•••••••Apr 25, 2025 · RIA to RIA
- C•••••••• A• K•••••• to M•••• F•••••••• A•••••••Apr 25, 2025 · RIA to RIA
- C•••• B•••• M•••••• to M•••• F•••••••• A•••••••Apr 25, 2025 · RIA to RIA
- E••• H••• S••••• to M•••• F•••••••• A•••••••Apr 25, 2025 · RIA to RIA
- A••••• K••• S•••••••• to M•••• F•••••••• A•••••••Apr 25, 2025 · RIA to RIA
- C•••• A•••• J••••••• to C••••••• W••••• A••••••• L••Apr 25, 2025 · RIA to RIA
- M••••••• K••• P••••• to M•••• F•••••••• A•••••••Apr 25, 2025 · RIA to RIA
- F•••••••• R•••••• to R•••••• W••••• M••••••••• L••Jun 27, 2022 · RIA to a state-registered adviser
Joined, latest
- C•••••••• A• K•••••• from M•• I•••••••• S•••••••• L••Jul 1, 2024 · Affiliated broker-dealer or bank to independent RIA
- C•••• A•••• J••••••• from T••••••• A•••••• N••••••• L••Feb 6, 2024 · Affiliated broker-dealer or bank to independent RIA
- M••••••• K••• P••••• from M••••• S••••••Mar 17, 2023 · Wirehouse to independent RIA
- C•••• B•••• M•••••• from U•• F•••••••• S••••••• I•••Mar 16, 2023 · Wirehouse to independent RIA
- F•••••••• R•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Feb 2, 2022 · Wirehouse to independent RIA
- A•••••• J••• H••••••••• from F•• R•••• C••••••Jan 8, 2020 · Other
- E••• H••• S••••• from F•• R•••• C••••••Jan 8, 2020 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for M•••• F•••••••• A•••••••Apr 25, 2025 · Minocqua, Wi
- 2 joined from F•• R•••• C••••••Jun 24, 2019 · Appleton, Wi
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••••• A••••••• J••• · Partner, Chief Compliance Officercontrolsince 06/2019 · owns 25% to 50%
- S•••••• E•••• H••• · Partnercontrolsince 06/2019 · owns 50% to 75%
- Z•••••• C••••••••• A• · Chief Operating Officersince 06/2022 · owns less than 5%
Related persons
Schedule D 7.A
- A•••• C•••••• G•••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Ballwin, Mo | 0 | 0 | 0 | ||
| Minocqua, Wi | 0 | 0 | 0 | ||
| Orlando, Fl | 0 | 0 | 0 | ||
| Peoria, Az | 0 | 0 | 0 | ||
| Tiffin, Oh | 0 | 0 | 0 | ||
| Wauwatasa, Wi | 0 | 0 | 0 | ||
| Rhinelander, Wi | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 906 to 1,312Aug 9, 2024 to Mar 3, 2025
- Advisory employees · 7 to 4Aug 9, 2024 to Mar 3, 2025
- HNW clients · 150 to 265Aug 9, 2024 to Mar 3, 2025
- Individual clients · 65 to 278Aug 9, 2024 to Mar 3, 2025
- HQ city · unset to Aug 9, 2024 to Mar 3, 2025
- HQ state · unset to Aug 9, 2024 to Mar 3, 2025
- Other offices · 6 to 7Aug 9, 2024 to Mar 3, 2025
- Discretionary RAUM · $339M to $598MAug 9, 2024 to Mar 3, 2025
- HNW RAUM · $311M to $599MAug 9, 2024 to Mar 3, 2025
- Individual RAUM · $27.2M to $2.5MAug 9, 2024 to Mar 3, 2025
- Non-discretionary RAUM · $0 to $2.6MAug 9, 2024 to Mar 3, 2025
- RAUM · $339M to $601MAug 9, 2024 to Mar 3, 2025
- Advisory employees · 6 to 7Feb 13, 2024 to Jun 14, 2024
- Employees · 8 to 10Feb 13, 2024 to Jun 14, 2024
- Accounts · 196 to 906Nov 17, 2023 to Feb 13, 2024
- Advisory employees · 5 to 6Nov 17, 2023 to Feb 13, 2024
- HNW clients · 60 to 150Nov 17, 2023 to Feb 13, 2024
- Individual clients · 136 to 65Nov 17, 2023 to Feb 13, 2024
- Employees · 7 to 8Nov 17, 2023 to Feb 13, 2024
- State-registered IARs · 3 to 6Nov 17, 2023 to Feb 13, 2024
- Other offices · 5 to 6Nov 17, 2023 to Feb 13, 2024
- Discretionary RAUM · $184M to $339MNov 17, 2023 to Feb 13, 2024
- HNW RAUM · $122M to $311MNov 17, 2023 to Feb 13, 2024
- Individual RAUM · $61.8M to $27.2MNov 17, 2023 to Feb 13, 2024
- RAUM · $184M to $339MNov 17, 2023 to Feb 13, 2024
- Other offices · 1 to 5Aug 15, 2023 to Nov 17, 2023
- Advisory employees · 3 to 5May 9, 2023 to May 22, 2023
- Employees · 5 to 7May 9, 2023 to May 22, 2023
- Accounts · 693 to 196Nov 9, 2022 to Mar 20, 2023
- Advisory activities · 3 to 2Nov 9, 2022 to Mar 20, 2023
- HNW clients · 167 to 60Nov 9, 2022 to Mar 20, 2023
- Individual clients · 22 to 136Nov 9, 2022 to Mar 20, 2023
- Discretionary RAUM · $168M to $184MNov 9, 2022 to Mar 20, 2023
- HNW RAUM · $167M to $122MNov 9, 2022 to Mar 20, 2023
- Individual RAUM · $854,345 to $61.8MNov 9, 2022 to Mar 20, 2023
- RAUM · $168M to $184MNov 9, 2022 to Mar 20, 2023
- Accounts · 569 to 693Jul 20, 2022 to Nov 9, 2022
- HNW clients · 209 to 167Jul 20, 2022 to Nov 9, 2022
- Individual clients · 20 to 22Jul 20, 2022 to Nov 9, 2022
- Discretionary RAUM · $117M to $168MJul 20, 2022 to Nov 9, 2022
Signals
13 dated events
- S•••••••• W••••• M••••••••• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $601.0M)May 2, 2025 · Left the SEC roster · derived
- A•••••• J••• H••••••••• left S•••••••• W••••• M••••••••• for M•••• F•••••••• A••••••• (registered 2025-04-25)Apr 25, 2025 · a•••••• firm change · fact
- M••••••• K••• P••••• left S•••••••• W••••• M••••••••• for M•••• F•••••••• A••••••• (registered 2025-04-25)Apr 25, 2025 · a•••••• firm change · fact
- C•••• A•••• J••••••• left S•••••••• W••••• M••••••••• for C••••••• W••••• A••••••• L•• (registered 2025-04-28)Apr 25, 2025 · a•••••• firm change · fact
- E••• H••• S••••• left S•••••••• W••••• M••••••••• for M•••• F•••••••• A••••••• (registered 2025-04-25)Apr 25, 2025 · a•••••• firm change · fact
- C•••••••• A• K•••••• left S•••••••• W••••• M••••••••• for M•••• F•••••••• A••••••• (registered 2025-04-25)Apr 25, 2025 · a•••••• firm change · fact
- C•••• B•••• M•••••• left S•••••••• W••••• M••••••••• for M•••• F•••••••• A••••••• (registered 2025-04-25)Apr 25, 2025 · a•••••• firm change · fact
- A••••• K••• S•••••••• left S•••••••• W••••• M••••••••• for M•••• F•••••••• A••••••• (registered 2025-04-25)Apr 25, 2025 · a•••••• firm change · fact
- 2 advisors left S•••••••• W••••• M••••••••• (Rhinelander, WI) for M•••• F•••••••• A••••••• on the same dayApr 25, 2025 · Team lift-out · derived
- S•••••••• W••••• M••••••••• reported RAUM $601.0M, up 78% from $338.5M (2024-08-09 to 2025-03-03)Mar 3, 2025 · RAUM change · derived
- S•••••••• W••••• M••••••••• reported RAUM $338.5M, up 84% from $183.6M (2023-11-17 to 2024-02-13)Feb 13, 2024 · RAUM change · derived
- F•••••••• R•••••• left S•••••••• W••••• M••••••••• for R•••••• W••••• M••••••••• L•• (registered 2025-01-01)Jun 27, 2022 · a•••••• firm change · fact
- S•••••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)May 19, 2022 · 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