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

R• I••••••••• M••••••••• I•••

Former SEC-registered adviserGreen Bay, WisconsinCRD 318967SEC 801-124968IAPD
Latest filing Aug 16, 2022
First filing on the tape Apr 6, 2022 · 5 filings
RAUM
$6.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$6.7M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$6.7M
derived; firm RAUM over IAPD count
Employees
1
1 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$6.7M as of Aug 16, 2022
Apr 6, 2022$0 then
HNW client RAUM$4.1M as of Aug 16, 2022
Jul 26, 2022$4.1M then
State-registered IARs (5.B.3)1 as of Aug 16, 2022
Apr 6, 20221 then
Employees (5.A)1 as of Aug 16, 2022
Apr 6, 20221 then
Private funds: no history
Practice profile
derived from the filing of Aug 16, 2022; every figure names its basis
RAUM per advisor
$6.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
16derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.4MderivedHNW RAUM over HNW clients
Average account
$171,795derivedRAUM 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
1.0derived1 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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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$4.1M61%
  • Individuals$2.6M39%
Individual clients
13reported
HNW clients
3reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
39reported
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
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
R••••• R•••••• B•••••••Little Suamico, WiMay 17, 202228 y2
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B•••••••• R•••••• R•••••• · Owner & Ccocontrol
      since 02/2022 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 0 to 39
      May 10, 2022 to Jul 26, 2022
    • HNW clients · unset to 3.0
      May 10, 2022 to Jul 26, 2022
    • Individual clients · unset to 13.0
      May 10, 2022 to Jul 26, 2022
    • Discretionary RAUM · $0 to $6.7M
      May 10, 2022 to Jul 26, 2022
    • HNW RAUM · unset to 4100000.0
      May 10, 2022 to Jul 26, 2022
    • Individual RAUM · unset to 2600000.0
      May 10, 2022 to Jul 26, 2022
    • RAUM · $0 to $6.7M
      May 10, 2022 to Jul 26, 2022
    • HQ city · SOBIESKI to GREEN BAY
      Apr 6, 2022 to May 6, 2022
    Signals
    1 dated events
    • R• I••••••••• M••••••••• I••• filed its initial SEC registration (Form ADV)
      Apr 6, 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.
    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
    $6.7Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026