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
T•••••••• A•••••• G••••• L••
Latest filing Jul 10, 2026
First filing on the tape Dec 8, 2020 · 28 filings
SEC status approved since Mar 2, 2021
RAUM
$253M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$253M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$50.6M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$253M as of Jul 10, 2026
Mar 4, 2022$171M then
HNW client RAUM$165M as of Jul 10, 2026
Mar 4, 2022$34.3M then
State-registered IARs (5.B.3)5 as of Jul 10, 2026
Mar 4, 20223 then
Employees (5.A)5 as of Jul 10, 2026
Mar 4, 20223 then
Private funds: no history
RAUM +23% over the last fiscal year+14% a year over threeIARs 3 to 5
Practice profile
derived from the filing of Jul 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
- RAUM per advisor
- $50.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 72derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $316,891derivedRAUM 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
- 1.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.9%derived
- Compensation
- percentage of assets, hourly, 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$165M65%
- Individuals$88.0M35%
- Individual clients
- 300reported
- HNW clients
- 60reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 799reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• A•••• J•••••••Certified Financial Planner | Milwaukee, Wi | Jul 14, 2021 | 13 y | 3 |
| T••• P•••••• O••••• | Milwaukee, Wi | Jan 1, 2025 | 14 y | 1 |
| M••••••••• C•••••• R••••Certified Financial Planner | Milwaukee, Wi | Jan 2, 2025 | 11 y | 2 |
| C•••••• R•••••• E•••••• | Milwaukee, Wi | Jan 1, 2026 | 23 y | 1 |
| S•• K••••••••Chartered Financial Analyst | Milwaukee, Wi | Jul 12, 2026 | 11 y | 1 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount2 left over 36 months
Left, latest
- C•••••• S•••••••• C••••••• to A•••• W••••• M••••••••• L••Jan 28, 2025 · RIA to RIA
- P••••• M••• N••••••• to V•••••• F•••••••• P•••••••• L••Jul 1, 2024 · RIA to RIA
Joined, latest
- S•• K•••••••• from A••••••••• F•••••••• S•••••••• L••Jul 12, 2026 · Affiliated broker-dealer or bank to independent RIA
- C•••••• R•••••• E•••••• from P•••••••• S••••••••• I•••Jan 1, 2026 · Affiliated broker-dealer or bank to independent RIA
- M••••••••• C•••••• R•••• from W••••••••• A•••••••Jan 2, 2025 · RIA to RIA
- T••• P•••••• O••••• from P•••••••• S••••••••• I•••Jan 1, 2025 · Affiliated broker-dealer or bank to independent RIA
- C•••••• S•••••••• C••••••• from C••••••••• W••••• A•••••••• L••Sep 10, 2024 · Affiliated broker-dealer or bank to independent RIA
- P••••• M••• N••••••• from P•••••••• S••••••••• I•••Jul 16, 2021 · Affiliated broker-dealer or bank to independent RIA
- B•••• A•••• J••••••• from P•••••••• S••••••••• I•••Jul 14, 2021 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from P•••••••• S••••••••• I•••Mar 17, 2021 · Mt Pleasant, Wi
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E••••••• C••••••• R•••••• · Ceo, Ccocontrolsince 10/2020 · owns 50% to 75%
- J•••••••• B••••• A•••• · Investment A••••••controlsince 01/2022 · owns 50% to 75%
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 | 5 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Union Grove, WI1 employees
What changed
consecutive filings, newest first
- Advisory employees · 4 to 5Mar 2, 2026 to Jul 10, 2026
- Employees · 4 to 5Mar 2, 2026 to Jul 10, 2026
- State-registered IARs · 4 to 5Mar 2, 2026 to Jul 10, 2026
- Accounts · 764 to 799Aug 19, 2025 to Mar 2, 2026
- Advisory employees · 3 to 4Aug 19, 2025 to Mar 2, 2026
- HNW clients · 66 to 60Aug 19, 2025 to Mar 2, 2026
- Individual clients · 301 to 300Aug 19, 2025 to Mar 2, 2026
- Employees · 3 to 4Aug 19, 2025 to Mar 2, 2026
- State-registered IARs · 3 to 4Aug 19, 2025 to Mar 2, 2026
- Discretionary RAUM · $207M to $253MAug 19, 2025 to Mar 2, 2026
- HNW RAUM · $150M to $165MAug 19, 2025 to Mar 2, 2026
- Individual RAUM · $56.2M to $88.0MAug 19, 2025 to Mar 2, 2026
- RAUM · $207M to $253MAug 19, 2025 to Mar 2, 2026
- Accounts · 615 to 764Nov 21, 2024 to Mar 14, 2025
- Advisory employees · 4 to 3Nov 21, 2024 to Mar 14, 2025
- HNW clients · 46 to 66Nov 21, 2024 to Mar 14, 2025
- Individual clients · 569 to 301Nov 21, 2024 to Mar 14, 2025
- Employees · 4 to 3Nov 21, 2024 to Mar 14, 2025
- Financial planning clients · 1-10 to 1-10Nov 21, 2024 to Mar 14, 2025
- State-registered IARs · 4 to 3Nov 21, 2024 to Mar 14, 2025
- Other offices · 1 to 2Nov 21, 2024 to Mar 14, 2025
- Discretionary RAUM · $216M to $207MNov 21, 2024 to Mar 14, 2025
- HNW RAUM · $45.4M to $150MNov 21, 2024 to Mar 14, 2025
- Individual RAUM · $171M to $56.2MNov 21, 2024 to Mar 14, 2025
- RAUM · $216M to $207MNov 21, 2024 to Mar 14, 2025
- Other offices · 0 to 1Sep 9, 2024 to Nov 19, 2024
- Discretionary RAUM · $170M to $216MOct 13, 2023 to Mar 27, 2024
- HNW RAUM · $34.3M to $45.4MOct 13, 2023 to Mar 27, 2024
- Individual RAUM · $136M to $171MOct 13, 2023 to Mar 27, 2024
- RAUM · $170M to $216MOct 13, 2023 to Mar 27, 2024
- Accounts · 269 to 615Feb 13, 2023 to Mar 28, 2023
- Advisory employees · 3 to 4Feb 13, 2023 to Mar 28, 2023
- HNW clients · 49 to 46Feb 13, 2023 to Mar 28, 2023
- Individual clients · 220 to 569Feb 13, 2023 to Mar 28, 2023
- Employees · 3 to 4Feb 13, 2023 to Mar 28, 2023
- State-registered IARs · 3 to 4Feb 13, 2023 to Mar 28, 2023
- Discretionary RAUM · $171M to $170MFeb 13, 2023 to Mar 28, 2023
- Individual RAUM · $137M to $136MFeb 13, 2023 to Mar 28, 2023
- RAUM · $171M to $170MFeb 13, 2023 to Mar 28, 2023
- HQ city · MOUNT PLEASANT to MILWAUKEEMar 4, 2022 to Oct 12, 2022
Signals
6 dated events
- C•••••• S•••••••• C••••••• left T•••••••• A•••••• G••••• L•• for A•••• W••••• M••••••••• L•• (registered 2025-01-27)Jan 28, 2025 · a•••••• firm change · fact
- P••••• M••• N••••••• left T•••••••• A•••••• G••••• L•• for V•••••• F•••••••• P•••••••• L•• (registered 2024-07-03)Jul 1, 2024 · a•••••• firm change · fact
- M••• P••••• N••••••• (Investment Advisor) no longer on Schedule A of T•••••••• A•••••• G••••• L•• (listed 2024-03-27, absent 2024-07-01)Jul 1, 2024 · Control person left · inference
- A•••• B•••• J••••••• (Investment Advisor) appeared on Schedule A of T•••••••• A•••••• G••••• L••Mar 4, 2022 · Control person joined · fact
- M••• P••••• N••••••• (Investment Advisor) appeared on Schedule A of T•••••••• A•••••• G••••• L••Mar 4, 2022 · Control person joined · fact
- T•••••••• A•••••• G••••• L•• filed its initial SEC registration (Form ADV)Dec 8, 2020 · 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
- Website
- info@transcendadvisorgroup.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 262-884-9983reportedpublic record, Form ADV, Jul 10, 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
- $50.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026