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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
U•••••• I••••••••• A••••••• L••
Latest filing Mar 28, 2025
First filing on the tape May 3, 2021 · 11 filings
SEC status approved since Jun 2, 2021
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
11 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$0 as of Mar 28, 2025
Mar 25, 2022$0 then
HNW client RAUM$0 as of Mar 28, 2025
Mar 25, 2022$0 then
State-registered IARs (5.B.3)2 as of Mar 28, 2025
Mar 25, 20223 then
Employees (5.A)12 as of Mar 28, 2025
Mar 25, 202213 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 28, 2025; every figure names its basis
- RAUM per advisor
- $0derivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 6.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 0reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 days1 left over 36 months
Left, latest
- R•••••• P••• I•••••••• to U•••••• I••••••••• C••••••• I•••Mar 3, 2026 · Other
Joined, latest
- R•••••• P••• I•••••••• from U•••••• I••••••••• C••••••• I•••Jun 9, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- I••••••••• R••••••• P••• · Chairman, Treasurer, Chief Investment Officer, Directorcontrolsince 03/2021 · owns less than 5%
- J•••••••• M•••• B••• · Vice President, Secretary, Director Of Compliance And Reporting, Chief Compliance Officercontrolsince 03/2021 · owns less than 5%
- J••••••• K•••• H••••• · President And Chief Executive Officercontrolsince 03/2021 · owns less than 5%
- W•••••• J••••• T••••• · Chief Operating Officer And Vice Presidentcontrolsince 06/2021 · owns less than 5%
Entity owners
- U•••••• I••••••••• C••••••• I••• · Owner Of 100% Of Member Interestsdirect · owns 75% or more
Related persons
Schedule D 7.A
- U•••••• I••••••••• C••••••• I•••investment adviseryRAUM $330M
Advisers that list U•••••• I••••••••• A••••••• L•• as a related person
- 154718 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Camas, Wa | 0 | 0 | 1 | ||
| Milwaukee, Wi · principal | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Advisory employees · 10 to 11Feb 15, 2024 to Mar 28, 2025
- Financial planning clients · unset to Feb 15, 2024 to Mar 28, 2025
- Advisory employees · 9 to 10Oct 18, 2023 to Feb 15, 2024
- Employees · 11 to 12Oct 18, 2023 to Feb 15, 2024
- HQ city · UNION GROVE to MILWAUKEEJun 27, 2023 to Oct 18, 2023
- Advisory employees · 10 to 9Mar 30, 2022 to Mar 29, 2023
- Employees · 13 to 11Mar 30, 2022 to Mar 29, 2023
- Insurance-licensed employees · 3 to 2Mar 30, 2022 to Mar 29, 2023
- State-registered IARs · 3 to 2Mar 30, 2022 to Mar 29, 2023
- Other offices · 2 to 1Mar 30, 2022 to Mar 29, 2023
- Employees · 12 to 13Jun 3, 2021 to Mar 25, 2022
Signals
5 dated events
- U•••••• I••••••••• A••••••• L•• no longer on the SEC adviser roster (last listed 2026-03-02)Apr 1, 2026 · Left the SEC roster · derived
- R•••••• P••• I•••••••• left U•••••• I••••••••• A••••••• L•• for U•••••• I••••••••• C••••••• I••• (registered 2025-01-15)Mar 3, 2026 · Advisor changed firm · fact
- Kris Hunter Jamison no longer registered at U•••••• I••••••••• A••••••• L••; no later IA registration on IAPDMar 3, 2026 · Advisor departure · fact
- T••••• J•••• W••••• (Chief Operating Officer) appeared on Schedule A of U•••••• I••••••••• A••••••• L••Mar 25, 2022 · Control person joined · fact
- U•••••• I••••••••• A••••••• L•• filed its initial SEC registration (Form ADV)May 3, 2021 · 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