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
D••••• F•••••••• C•••
Legal name G••••••••• L••
Latest filing Mar 19, 2026
First filing on the tape Feb 16, 2024 · 6 filings
SEC status approved since Mar 19, 2024
RAUM
$233M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$225M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$116M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$233M as of Mar 19, 2026
Mar 26, 2025$192M then
HNW client RAUM$212M as of Mar 19, 2026
Mar 26, 2025$173M then
State-registered IARs (5.B.3)2 as of Mar 19, 2026
Mar 26, 20251 then
Employees (5.A)2 as of Mar 19, 2026
Mar 26, 20251 then
Private funds: no history
RAUM +21% over the last fiscal yearIARs 1 to 2
Practice profile
derived from the filing of Mar 19, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $116MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 49derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $688,212derivedRAUM 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
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +10%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Custody
- $38.9M, 15 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$212M91%
- Individuals$12.2M5.2%
- Corporations and businesses$8.0M3.4%
- Individual clients
- 28reported
- HNW clients
- 69reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 338reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $38.9M for 15 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 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
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• J••• D••••••••Certified Financial Planner | Black Earth, Wi | Sep 24, 2020 | 17 y | 3 |
| R•••••••• E•••••••• P••••• | Scottdale, Pa | May 7, 2025 | 13 y | 1 |
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
Joined, latest
- R•••••••• E•••••••• P••••• from M•••••••• F•••••••• A•••••••May 7, 2025 · RIA to RIA
- J•••• J••• D•••••••• from S•• W••••• M••••••••• L••Sep 24, 2020 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••••• J••••• J••• · Owner, Cco, Investment Adviser Representativecontrolsince 09/2020 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Black Earth, Wi | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 19, 2026custody of client assets (Item 9.A): no on the filing of 2025-05-06, yes on the filing of 2026-03-19peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 329 to 338May 6, 2025 to Mar 19, 2026
- Advisory employees · 1 to 2May 6, 2025 to Mar 19, 2026
- HNW clients · 53 to 69May 6, 2025 to Mar 19, 2026
- Individual clients · 35 to 28May 6, 2025 to Mar 19, 2026
- Assets in custody · unset to 38878347.0May 6, 2025 to Mar 19, 2026
- Custody of client assets · false to trueMay 6, 2025 to Mar 19, 2026
- Employees · 1 to 2May 6, 2025 to Mar 19, 2026
- State-registered IARs · 1 to 2May 6, 2025 to Mar 19, 2026
- Discretionary RAUM · $179M to $233MMay 6, 2025 to Mar 19, 2026
- HNW RAUM · $173M to $212MMay 6, 2025 to Mar 19, 2026
- Individual RAUM · $17.9M to $12.2MMay 6, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $13.3M to $0May 6, 2025 to Mar 19, 2026
- Pension RAUM · 1441472.0 to unsetMay 6, 2025 to Mar 19, 2026
- RAUM · $192M to $233MMay 6, 2025 to Mar 19, 2026
- Financial planning clients · 1-10 to 1-10Mar 26, 2025 to May 6, 2025
- Accounts · 276 to 329Apr 3, 2024 to Mar 26, 2025
- HNW clients · 50 to 53Apr 3, 2024 to Mar 26, 2025
- Individual clients · 20 to 35Apr 3, 2024 to Mar 26, 2025
- Financial planning clients · 51-100 to 1-10Apr 3, 2024 to Mar 26, 2025
- HQ city · unset to Apr 3, 2024 to Mar 26, 2025
- HQ state · unset to Apr 3, 2024 to Mar 26, 2025
- Discretionary RAUM · $135M to $179MApr 3, 2024 to Mar 26, 2025
- HNW RAUM · $135M to $173MApr 3, 2024 to Mar 26, 2025
- Individual RAUM · $8.7M to $17.9MApr 3, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $14.7M to $13.3MApr 3, 2024 to Mar 26, 2025
- Pension RAUM · $0 to $1.4MApr 3, 2024 to Mar 26, 2025
- RAUM · $150M to $192MApr 3, 2024 to Mar 26, 2025
Signals
1 dated events
- D••••• F•••••••• C••• filed its initial SEC registration (Form ADV)Feb 16, 2024 · 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 phone
- 608-620-3385reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- d•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 608-630-7974reportedpublic record, Form ADV, Mar 19, 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
- $116Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026