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.
SEC-registered adviser
S••••••••• G•••••• • U•••••••• W••••• M••••••••• L••
Latest filing Sep 8, 2026
First filing on the tape Mar 29, 2022 · 20 filings
SEC status approved since May 2, 2022
RAUM
$236M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$228M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$47.3M
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$236M as of Aug 27, 2026
Mar 20, 2023$207M then
HNW client RAUM$143M as of Aug 27, 2026
Mar 20, 2023$35.0M then
State-registered IARs (5.B.3)5 as of Aug 27, 2026
Mar 20, 20233 then
Employees (5.A)7 as of Aug 27, 2026
Mar 20, 20237 then
Private funds: no history
RAUM -13% over the last fiscal year+4.5% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Sep 8, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- 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
- $47.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 124derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $775,360derivedHNW RAUM over HNW clients
- Average account
- $262,126derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 1.3derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- -13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -24%derived
- Compensation
- percentage of assets, hourly, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $71.6M, 220 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 a broker-dealer (6.A.1)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$143M60%
- Individuals$85.8M36%
- Corporations and businesses$4.1M1.7%
- Charitable organizations$3.8M1.6%
- Pension and profit-sharing plans$58,6350.0%
- Individual clients
- 438reported
- HNW clients
- 184reported
- Pension plan clients
- 2reported
- Charitable clients
- 2reported
- Accounts
- 902reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $71.6M for 220 clientsreported
- Compensation
- % of AUM, hourly, commissionsreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.02 related_bd= related_bank= bd_reps=5.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• K••• U••••••••Certified Financial Planner | La Crosse, Wi | Jan 24, 1996 | 40 y | 0 |
| L••••••• E••••• S••••••••• | La Crosse, Wi | May 3, 2022 | 25 y | 2 |
| T••••• A••••• G•••••• | La Crosse, Wi | May 3, 2022 | 13 y | 0 |
| T•••••• U•••••••• | La Crosse, Wi | Jan 10, 2024 | 12 y | 0 |
| H••••• J••• S••••••••• | La Crosse, Wi | Jan 15, 2026 | 12 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
- L••••••• E••••• S••••••••• from P••••••• C•••••• M••••••••• I•••May 3, 2022 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••• T•••••• A••••• · Membercontrolsince 02/2022 · owns 25% to 50%
- S••••••••• L•••••••• E••••• · Membercontrolsince 02/2022 · owns 25% to 50%
- U••••••••• D••••• K••• · Membercontrolsince 02/2022 · owns 25% to 50%
- S••••••••• G•••• J••••• · Chief Compliance Officersince 02/2022 · owns less than 5%
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 |
|---|---|---|---|---|---|
| La Crosse, Wi · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Winona, MN2 employees
- Trempealeau, WI1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 12, 2026HNW share of RAUM moved from 24.0% to 60.0% between the annual amendments of 2025-02-28 and 2026-03-12peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Financial planning clients · 11-25 to 11-25Aug 27, 2026 to Sep 8, 2026
- Related adviser · false to unsetAug 27, 2026 to Sep 8, 2026
- Related bank · false to unsetAug 27, 2026 to Sep 8, 2026
- Related broker-dealer · false to unsetAug 27, 2026 to Sep 8, 2026
- Related insurance company · false to unsetAug 27, 2026 to Sep 8, 2026
- Succession · false to unsetAug 27, 2026 to Sep 8, 2026
- Commission compensation · false to trueMar 12, 2026 to Aug 27, 2026
- Assets in custody · unset to 71646615.0Mar 12, 2026 to Aug 27, 2026
- Custody of client assets · false to trueMar 12, 2026 to Aug 27, 2026
- Accounts · 1,178 to 902Jan 5, 2026 to Mar 12, 2026
- Charity clients · 4 to 2Jan 5, 2026 to Mar 12, 2026
- Corporate clients · unset to 2.0Jan 5, 2026 to Mar 12, 2026
- HNW clients · 34 to 184Jan 5, 2026 to Mar 12, 2026
- Individual clients · 784 to 438Jan 5, 2026 to Mar 12, 2026
- Pension plan clients · unset to 2.0Jan 5, 2026 to Mar 12, 2026
- Financial planning clients · 1-10 to 11-25Jan 5, 2026 to Mar 12, 2026
- Discretionary RAUM · $272M to $236MJan 5, 2026 to Mar 12, 2026
- HNW RAUM · $65.4M to $143MJan 5, 2026 to Mar 12, 2026
- Individual RAUM · $197M to $85.8MJan 5, 2026 to Mar 12, 2026
- Pension RAUM · unset to 58635.0Jan 5, 2026 to Mar 12, 2026
- RAUM · $272M to $236MJan 5, 2026 to Mar 12, 2026
- Accounts · 971 to 1,178Oct 17, 2024 to Feb 28, 2025
- BD registered reps · 4 to 5Oct 17, 2024 to Feb 28, 2025
- Charity clients · unset to 4.0Oct 17, 2024 to Feb 28, 2025
- HNW clients · 27 to 34Oct 17, 2024 to Feb 28, 2025
- Individual clients · 652 to 784Oct 17, 2024 to Feb 28, 2025
- Pension plan clients · 1.0 to unsetOct 17, 2024 to Feb 28, 2025
- Financial planning clients · 1-10 to 1-10Oct 17, 2024 to Feb 28, 2025
- Other offices · 2 to 3Oct 17, 2024 to Feb 28, 2025
- Discretionary RAUM · $230M to $272MOct 17, 2024 to Feb 28, 2025
- HNW RAUM · $47.3M to $65.4MOct 17, 2024 to Feb 28, 2025
- Individual RAUM · $177M to $197MOct 17, 2024 to Feb 28, 2025
- Pension RAUM · 6262240.0 to unsetOct 17, 2024 to Feb 28, 2025
- RAUM · $230M to $272MOct 17, 2024 to Feb 28, 2025
- Other offices · 1 to 2Jul 2, 2024 to Sep 3, 2024
- Accounts · 946 to 971Jan 10, 2024 to Mar 20, 2024
- Advisory employees · 6 to 5Jan 10, 2024 to Mar 20, 2024
- BD registered reps · 3 to 4Jan 10, 2024 to Mar 20, 2024
- Corporate clients · 3.0 to unsetJan 10, 2024 to Mar 20, 2024
- HNW clients · 21 to 27Jan 10, 2024 to Mar 20, 2024
Signals
1 dated events
- S••••••••• G•••••• • U•••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 29, 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
- Business phone
- 608-784-9100reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 608-984-9100reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- greylakwealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 608-784-9100reportedpublic record, Form ADV, Sep 8, 2026
- Team page
- s-gwealth.com/our-team/tomreportedpublished by the firm, firm site, Sep 16, 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
- $47.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026