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
E•••• R••••••••• G••••
Legal name E•••• R••••••••• G••••• I•••
Latest filing Mar 4, 2025
First filing on the tape Mar 20, 2024 · 4 filings
SEC status approved since Apr 18, 2024
RAUM
$168M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$168M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$168M as of Mar 4, 2025
Mar 20, 2024$115M then
HNW client RAUM$34.2M as of Mar 4, 2025
Mar 20, 2024$2.0M then
State-registered IARs (5.B.3)4 as of Mar 4, 2025
Mar 20, 20244 then
Employees (5.A)4 as of Mar 4, 2025
Mar 20, 20244 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 4, 2025; every figure names its basis
- RAUM per advisor
- $42.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 250derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $86,743derivedRAUM 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
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, educational seminarsreportedItem 5.G
- Wrap fee program
- $168MreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$134M80%
- High-net-worth individuals$34.2M20%
- Individual clients
- 985reported
- HNW clients
- 14reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,941reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- 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
4 left, 0 joined in 12 months
net -4 in 12 months0 left in 90 days0 joined in 90 days4 left over 36 months
Left, latest
- P•••••• L•• M•••••• to E•••• W••••• M••••••••• I•••Dec 31, 2025 · RIA to RIA
- M•••••• W•••••• M•••••• to E•••• W••••• M••••••••• I•••Dec 31, 2025 · RIA to RIA
- M•••••• T••••••• D•••••• to E•••• W••••• M••••••••• I•••Dec 31, 2025 · RIA to RIA
- V••••• R•• K••••••• to E•••• W••••• M••••••••• I•••Dec 31, 2025 · RIA to RIA
- R•••• C•••••• R••••• to S•••••• P•••••••• L••Mar 27, 2023 · RIA to RIA
Joined, latest
- M•••••• T••••••• D•••••• from P•••••••• S••••••••• I•••Sep 21, 2023 · Affiliated broker-dealer or bank to independent RIA
- P•••••• L•• M•••••• from B••••••••• C•••••• M••••••••• L••Jan 14, 2021 · RIA to RIA
- M•••••• W•••••• M•••••• from B••••••••• C•••••• M••••••••• L••Jan 14, 2021 · RIA to RIA
- V••••• R•• K••••••• from B••••••••• C•••••• M••••••••• L••Jan 14, 2021 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for E•••• W••••• M••••••••• I•••Dec 31, 2025 · Plover, Wi · Firm absorbed
- 2 joined from B••••••••• C•••••• M••••••••• L••Apr 15, 2021 · Plover, Wi
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• P••••••• L•• · Ceo And Ccocontrolsince 11/2020 · owns 75% or more
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Plover, Wi · principal | 0 | 0 | 4 |
Offices
Schedule D 1.F, the 25 largest
- Kronenwetter, WI1 employees
What changed
consecutive filings, newest first
- Accounts · 1,449 to 1,941Aug 13, 2024 to Mar 4, 2025
- HNW clients · 8 to 14Aug 13, 2024 to Mar 4, 2025
- Individual clients · 819 to 985Aug 13, 2024 to Mar 4, 2025
- Financial planning clients · 0 to 0Aug 13, 2024 to Mar 4, 2025
- Discretionary RAUM · $115M to $168MAug 13, 2024 to Mar 4, 2025
- HNW RAUM · $2.0M to $34.2MAug 13, 2024 to Mar 4, 2025
- Individual RAUM · $113M to $134MAug 13, 2024 to Mar 4, 2025
- RAUM · $115M to $168MAug 13, 2024 to Mar 4, 2025
Signals
8 dated events
- E•••• R••••••••• G•••• no longer on the SEC adviser roster (last listed 2026-07-01, RAUM $168.4M)Aug 3, 2026 · Left the SEC roster · derived
- M•••••• W•••••• M•••••• left E•••• R••••••••• G•••• for E•••• W••••• M••••••••• I••• (registered 2025-02-26)Dec 31, 2025 · Advisor changed firm · fact
- V••••• R•• K••••••• left E•••• R••••••••• G•••• for E•••• W••••• M••••••••• I••• (registered 2025-02-26)Dec 31, 2025 · Advisor changed firm · fact
- M•••••• T••••••• D•••••• left E•••• R••••••••• G•••• for E•••• W••••• M••••••••• I••• (registered 2025-02-26)Dec 31, 2025 · Advisor changed firm · fact
- P•••••• L•• M•••••• left E•••• R••••••••• G•••• for E•••• W••••• M••••••••• I••• (registered 2025-03-04)Dec 31, 2025 · Advisor changed firm · fact
- E•••• R••••••••• G••••'s advisors moved to E•••• W••••• M••••••••• I••• (Plover, WI): 4 of 4 registered, on the same dayDec 31, 2025 · Firm absorbed (people side) · derived
- E•••• R••••••••• G•••• filed its initial SEC registration (Form ADV)Mar 20, 2024 · First SEC registration · fact
- R•••• C•••••• R••••• left E•••• R••••••••• G•••• for S•••••• P•••••••• L•• (registered 2023-09-29)Mar 27, 2023 · Advisor changed firm · 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