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
F•••••••• F•••••••• P••••••• N••••••
Legal name L• C••••• F•••••••• P••••••• I•••
Latest filing Apr 1, 2026
First filing on the tape Mar 27, 2026 · 2 filings
SEC status approved since Mar 27, 2026
RAUM
$176M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
100%
$176M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$25.1M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$176M as of Apr 1, 2026
Mar 27, 2026$164M then
HNW client RAUM$98.3M as of Apr 1, 2026
Mar 27, 2026$74.3M then
State-registered IARs (5.B.3)5 as of Apr 1, 2026
Mar 27, 20264 then
Employees (5.A)5 as of Apr 1, 2026
Mar 27, 20264 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 1, 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
- $25.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 48derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $153,145derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.7derivedItem 5.A over advisors
- Advisors per office
- 3.5derived2 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, educational seminarsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$98.3M56%
- Individuals$77.3M44%
- Individual clients
- 292reported
- HNW clients
- 41reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,147reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| F•••••• T•••••• L••••Certified Financial Planner | Onalaska, Wi | Apr 23, 2021 | 11 y | 3 |
| M•••••• T••••• S••••• | Onalaska, Wi | Apr 27, 2021 | 12 y | 2 |
| B••••••• G••••• | Onalaska, Wi | Jun 21, 2022 | 11 y | 0 |
| K•••••• I•••• W••••••• | Onalaska, Wi | Mar 25, 2025 | 12 y | 1 |
| G•••••• M• M•••••Certified Financial Planner, Chartered Financial Consultant | Eagle, Id | Jun 18, 2025 | 12 y | 0 |
| J•••• R••• S••••••Certified Financial Planner | Onalaska, Wi | Jul 9, 2026 | 16 y | 0 |
| M••••••••• L•••••• A••••• G••••• | Onalaska, Wi | Sep 1, 2026 | 10 y | 0 |
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
- R••••• B••• to V•• C•••••• W••••• M••••••••• L••Dec 31, 2022 · RIA to RIA
Joined, latest
- K•••••• I•••• W••••••• from M••••• O• O•••• I••••••• S•••••••• I•••Mar 25, 2025 · RIA to RIA
- M•••••• T••••• S••••• from V••• F•••••••• A•••••••• I•••Apr 27, 2021 · Affiliated broker-dealer or bank to independent RIA
- F•••••• T•••••• L•••• from V••• F•••••••• A•••••••• I•••Apr 23, 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 V••• F•••••••• A•••••••• I•••Apr 22, 2021 · Lacrosse, Wi
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••• F••••••• T•••••• · Chief Compliance Officer, Chief Executive Officercontrolsince 12/2020 · 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 |
|---|---|---|---|---|---|
| Onalaska, Wi · principal | 6 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- affiliate changedChange between filings · filing Apr 1, 2026insurance affiliate (Item 7.A.10): no on the filing of 2026-03-27, yes on the filing of 2026-04-01peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 1,004 to 1,147Mar 27, 2026 to Apr 1, 2026
- Advisory employees · 4 to 5Mar 27, 2026 to Apr 1, 2026
- HNW clients · 26 to 41Mar 27, 2026 to Apr 1, 2026
- Individual clients · 721 to 292Mar 27, 2026 to Apr 1, 2026
- Employees · 4 to 5Mar 27, 2026 to Apr 1, 2026
- State-registered IARs · 4 to 5Mar 27, 2026 to Apr 1, 2026
- Other offices · 0 to 1Mar 27, 2026 to Apr 1, 2026
- Discretionary RAUM · $157M to $163MMar 27, 2026 to Apr 1, 2026
- HNW RAUM · $74.3M to $98.3MMar 27, 2026 to Apr 1, 2026
- Individual RAUM · $89.8M to $77.3MMar 27, 2026 to Apr 1, 2026
- Non-discretionary RAUM · $7.3M to $12.2MMar 27, 2026 to Apr 1, 2026
- RAUM · $164M to $176MMar 27, 2026 to Apr 1, 2026
- Related insurance company · false to trueMar 27, 2026 to Apr 1, 2026
Signals
1 dated events
- R••••• B••• left F•••••••• F•••••••• P••••••• N•••••• for V•• C•••••• W••••• M••••••••• L•• (registered 2026-03-31)Dec 31, 2022 · 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/laxfpreportedpublic record, Form ADV, Sep 18, 2026
- Website
- fiduciaryfinancialplanning.netreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (608) 534-4444reportedpublic record, Form ADV, Apr 1, 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
- $25.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026