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
R••••••••• W••••• S•••••••• L••
Latest filing Feb 3, 2026
First filing on the tape Jan 18, 2024 · 5 filings
SEC status approved since Feb 20, 2024
RAUM
$227M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$226M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$75.7M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$227M as of Feb 3, 2026
Feb 3, 2025$176M then
HNW client RAUM$193M as of Feb 3, 2026
Feb 3, 2025$136M then
State-registered IARs (5.B.3)3 as of Feb 3, 2026
Feb 3, 20252 then
Employees (5.A)4 as of Feb 3, 2026
Feb 3, 20253 then
Private funds: no history
RAUM +29% over the last fiscal yearIARs 2 to 3
Practice profile
derived from the filing of Feb 3, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $75.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 63derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $385,384derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +29%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $77.0M, 82 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$193M85%
- Individuals$33.3M15%
- Corporations and businesses$599,3670.3%
- Charitable organizations$30,7590.0%
- Individual clients
- 113reported
- HNW clients
- 75reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 589reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $77.0M for 82 clientsreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••••• J••• G•••Certified Financial Planner, Chartered Financial Consultant | Marshfield, Wi | Jan 24, 2022 | 20 y | 1 |
| W•••••• D• H•••••• | Marshfield, Wi | Jan 24, 2022 | 54 y | 1 |
| A••• L•••••• S••••••••• | Marshfield, Wi | Apr 1, 2025 | 11 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
none on the tape
Joined, latest
- P•••••• J••• G••• from E•••• S••••••••• L••Jan 24, 2022 · Affiliated broker-dealer or bank to independent RIA
- W•••••• D• H•••••• from E•••• S••••••••• L••Jan 24, 2022 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from E•••• S••••••••• L••Jan 26, 2022 · Marshfield, Wi
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••• P••••••• J••• · Managing Principal / Ccocontrolsince 01/2022 · 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 |
|---|---|---|---|---|---|
| Marshfield, Wi · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- HNW clients · 64 to 75Feb 3, 2025 to Feb 3, 2026
- Individual clients · 112 to 113Feb 3, 2025 to Feb 3, 2026
- Assets in custody · $79.7M to $77.0MFeb 3, 2025 to Feb 3, 2026
- Employees · 3 to 4Feb 3, 2025 to Feb 3, 2026
- State-registered IARs · 2 to 3Feb 3, 2025 to Feb 3, 2026
- Discretionary RAUM · $176M to $227MFeb 3, 2025 to Feb 3, 2026
- HNW RAUM · $136M to $193MFeb 3, 2025 to Feb 3, 2026
- Individual RAUM · $38.9M to $33.3MFeb 3, 2025 to Feb 3, 2026
- RAUM · $176M to $227MFeb 3, 2025 to Feb 3, 2026
- Accounts · 539 to 589Feb 3, 2025 to Feb 3, 2026
- Advisory employees · 2 to 3Feb 3, 2025 to Feb 3, 2026
- Accounts · 456 to 539Sep 12, 2024 to Feb 3, 2025
- HNW clients · 59 to 64Sep 12, 2024 to Feb 3, 2025
- Individual clients · 105 to 112Sep 12, 2024 to Feb 3, 2025
- Assets in custody · $39.3M to $79.7MSep 12, 2024 to Feb 3, 2025
- Financial planning clients · 0 to 0Sep 12, 2024 to Feb 3, 2025
- Discretionary RAUM · $141M to $176MSep 12, 2024 to Feb 3, 2025
- HNW RAUM · $106M to $136MSep 12, 2024 to Feb 3, 2025
- Individual RAUM · $34.0M to $38.9MSep 12, 2024 to Feb 3, 2025
- RAUM · $141M to $176MSep 12, 2024 to Feb 3, 2025
- Assets in custody · unset to 39261105.0Aug 19, 2024 to Sep 12, 2024
- Custody of client assets · false to trueAug 19, 2024 to Sep 12, 2024
Signals
2 dated events
- R••••••••• W••••• S•••••••• L•• filed its initial SEC registration (Form ADV)Jan 18, 2024 · First SEC registration · fact
- 2 advisors left E•••• S••••••••• L•• (Marshfield, WI) for R••••••••• W••••• S•••••••• L•• a day apartJan 26, 2022 · Team lift-out · derived
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
- Business phone
- 715-384-5481reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- w••.r•••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 715-384-5481reportedpublic record, Form ADV, Feb 3, 2026
- Contact form
- r•••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $75.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026