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
A••• A•••••••• L••
Latest filing May 14, 2025
First filing on the tape Jun 8, 2022 · 9 filings
SEC status approved since Jul 8, 2022
RAUM
$67.8M
reported, Item 5.F
Discretionary
83%
of RAUM
Private clients
74%
$49.9M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$33.9M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$67.8M as of May 14, 2025
Mar 20, 2023$31.9M then
HNW client RAUM$16.6M as of May 14, 2025
Mar 20, 2023$10.1M then
State-registered IARs (5.B.3)2 as of May 14, 2025
Mar 20, 20232 then
Employees (5.A)4 as of May 14, 2025
Mar 20, 20236 then
Private funds: no history
RAUM +34% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of May 14, 2025; every figure names its basis
- RAUM per advisor
- $33.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 51derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $250,185derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 83%derivedof RAUM
- Institutional
- 26%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +34%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +35%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, publications, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$33.3M49%
- High-net-worth individuals$16.6M24%
- Pension and profit-sharing plans$11.3M17%
- Charitable organizations$6.6M9.7%
- Individual clients
- 95reported
- HNW clients
- 6reported
- Pension plan clients
- n/areported
- Charitable clients
- 40reported
- Accounts
- 271reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N••••••• J••• S•••••••• | Wauwatosa, Wi | Jan 1, 2025 | 14 y | 7 |
| G••• F••••••• C•••••• | Whitefish Bay, Wi | Jul 27, 2026 | 26 y | 3 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- G••• F••••••• C•••••• from I••••••••• F•••••••• G••••• L••Jul 27, 2026 · Affiliated broker-dealer or bank to independent RIA
- N••••••• J••• S•••••••• from T• A••••••••• I•••Jan 1, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• G•••• F••••••• · Managing Partner And Ccocontrolsince 08/2021 · 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 |
|---|---|---|---|---|---|
| Wauwatosa, Wi · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 111 to 271Aug 19, 2024 to Mar 6, 2025
- Advisory activities · 4 to 6Aug 19, 2024 to Mar 6, 2025
- Charity clients · 32 to 40Aug 19, 2024 to Mar 6, 2025
- Individual clients · 69 to 95Aug 19, 2024 to Mar 6, 2025
- Employees · 3 to 4Aug 19, 2024 to Mar 6, 2025
- Discretionary RAUM · $39.0M to $56.5MAug 19, 2024 to Mar 6, 2025
- HNW RAUM · $12.5M to $16.6MAug 19, 2024 to Mar 6, 2025
- Individual RAUM · $20.5M to $33.3MAug 19, 2024 to Mar 6, 2025
- Non-discretionary RAUM · $11.5M to $11.3MAug 19, 2024 to Mar 6, 2025
- Pension RAUM · $11.5M to $11.3MAug 19, 2024 to Mar 6, 2025
- RAUM · $50.5M to $67.8MAug 19, 2024 to Mar 6, 2025
- Accounts · 141 to 111Oct 12, 2023 to Feb 7, 2024
- Charity clients · 19 to 32Oct 12, 2023 to Feb 7, 2024
- HNW clients · 5 to 6Oct 12, 2023 to Feb 7, 2024
- Individual clients · 74 to 69Oct 12, 2023 to Feb 7, 2024
- Pension plan clients · 5.0 to unsetOct 12, 2023 to Feb 7, 2024
- Discretionary RAUM · $31.9M to $39.0MOct 12, 2023 to Feb 7, 2024
- HNW RAUM · $10.1M to $12.5MOct 12, 2023 to Feb 7, 2024
- Individual RAUM · $18.1M to $20.5MOct 12, 2023 to Feb 7, 2024
- Non-discretionary RAUM · $0 to $11.5MOct 12, 2023 to Feb 7, 2024
- Pension RAUM · $0 to $11.5MOct 12, 2023 to Feb 7, 2024
- RAUM · $31.9M to $50.5MOct 12, 2023 to Feb 7, 2024
- Employees · 6 to 3Mar 20, 2023 to Oct 12, 2023
- Accounts · 114 to 141Jun 8, 2022 to Mar 20, 2023
- Charity clients · 16 to 19Jun 8, 2022 to Mar 20, 2023
- Individual clients · 42 to 74Jun 8, 2022 to Mar 20, 2023
- Pension plan clients · 6 to 5Jun 8, 2022 to Mar 20, 2023
- Employees · 5 to 6Jun 8, 2022 to Mar 20, 2023
- Financial planning clients · 1-10 to 0Jun 8, 2022 to Mar 20, 2023
- Discretionary RAUM · $27.8M to $31.9MJun 8, 2022 to Mar 20, 2023
- HNW RAUM · $11.0M to $10.1MJun 8, 2022 to Mar 20, 2023
- Individual RAUM · $13.4M to $18.1MJun 8, 2022 to Mar 20, 2023
- RAUM · $27.8M to $31.9MJun 8, 2022 to Mar 20, 2023
Signals
2 dated events
- A••• A•••••••• L•• no longer on the SEC adviser roster (last listed 2025-06-02, RAUM $67.8M)Jul 1, 2025 · Left the SEC roster · derived
- A••• A•••••••• L•• filed its initial SEC registration (Form ADV)Jun 8, 2022 · 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
- Firm profile
- linkedin.com/company/anew-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- anewadvisors.comreportedpublic record, Form ADV, Sep 18, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $33.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026