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
G•••••• W••••• P•••••••• L••
Latest filing Jun 12, 2026
First filing on the tape Aug 26, 2022 · 26 filings
SEC status approved since Sep 26, 2022
RAUM
$2.3B
reported, Item 5.F
Discretionary
73%
of RAUM
Private clients
98%
$2.2B individuals and HNW
Advisors
101
registered through the firm on IAPD
RAUM per advisor
$22.6M
derived; firm RAUM over IAPD count
Employees
83
83 advisory (5.B.1)
Offices
25
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$2.3B as of Jun 12, 2026
Mar 29, 2023$1.2B then
HNW client RAUM$1.3B as of Jun 12, 2026
Mar 29, 2023$571M then
State-registered IARs (5.B.3)83 as of Jun 12, 2026
Mar 29, 202338 then
Employees (5.A)83 as of Jun 12, 2026
Mar 29, 202338 then
Private funds: no history
RAUM +82% over the last fiscal year+26% a year over threeIARs 66 to 83
Practice profile
derived from the filing of Jun 12, 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
- Multi-office growth platform · an independent wealth manager (not a wirehouse, national broker-dealer RIA or broker-dealer affiliated firm) with at least five offices, at least 50 advisors, and RAUM up at least 20 percent over the last annual amendment
- retirement p••• adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $22.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 71derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $813,216derivedHNW RAUM over HNW clients
- Average account
- $214,277derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 73%derivedof RAUM
- Institutional
- 1.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived26 offices incl. principal (1.F.5)
- RAUM growth, one year
- +82%derivedbetween the last two annual amendments
- Advisor growth, one year
- +26%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +79%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $2.3BreportedItem 5.I
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.3B57%
- Individuals$921M40%
- Pension and profit-sharing plans$35.0M1.5%
- Corporations and businesses$11.9M0.5%
- Charitable organizations$5.9M0.3%
- Individual clients
- 5,707reported
- HNW clients
- 1,605reported
- Pension plan clients
- 25reported
- Charitable clients
- 13reported
- Accounts
- 10,635reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=81.0derived
Advisors registered through the firm
101 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• N••••• G•••••Certified Financial Planner | Hazen, Nd | Nov 29, 2017 | 21 y | 1 |
| J•••••• S•••• M•••• | Menasha, Wi | Feb 14, 2018 | 15 y | 2 |
| T••• E••••• H••••• | Appleton, Wi | Feb 14, 2018 | 25 y | 1 |
| T•••••• R••• S••••••••• | Appleton, Wi | Jul 20, 2018 | 21 y | 2 |
| C••••••••• A••••• M••••••Certified Financial Planner, Chartered Financial Analyst | Appleton, Wi | Aug 23, 2018 | 31 y | 6 |
| D•••• H••••••• W••• | Appleton, Wi | Oct 6, 2022 | 37 y | 3 |
| I•••• M•••• V••••••••• | Appleton, Wi | Oct 6, 2022 | 44 y | 2 |
| E••• D••• H••• | Appleton, Wi | Oct 6, 2022 | 22 y | 5 |
| J•••••••• A•••••• A••• | Appleton, Wi | Oct 6, 2022 | 23 y | 2 |
| J•••••• M• K••••• | Appleton, Wi | Oct 6, 2022 | 21 y | 6 |
| R••• M•••••• K•••• | Washington, Il | Oct 6, 2022 | 10 y | 1 |
| S•••• L••••••• J••••• | Appleton, Wi | Oct 6, 2022 | 28 y | 2 |
| J••• A•• B••••• | Appleton, Wi | Oct 6, 2022 | 34 y | 1 |
| M•••••• G••••• K•••••• | Appleton, Wi | Oct 6, 2022 | 24 y | 3 |
| T•••••• J••• B•••• | Appleton, Wi | Oct 6, 2022 | 36 y | 1 |
| S•••• C••• W•••••• | Hannibal, Mo | Oct 6, 2022 | 20 y | 4 |
| K••••• S•••• H••••••• | Batavia, Il | Oct 6, 2022 | 19 y | 3 |
| J••••• J••• Z••••••• | Eau Claire, Wi | Oct 7, 2022 | 13 y | 3 |
| B•••••• S•••••• | Appleton, Wi | Oct 26, 2022 | 14 y | 0 |
| D••••• P• L•••••• | Newburyport, Ma | Nov 2, 2022 | 18 y | 2 |
| T•••• R••• B••••• | Fort Wayne, In | Nov 21, 2022 | 11 y | 1 |
| T••• C••••••••• K••• | Appleton, Wi | Jan 26, 2023 | 26 y | 4 |
| M•••••• D••••• M•••• | Midland, Tx | Feb 14, 2023 | 24 y | 1 |
| J•••• D• M•••• | Midland, Tx | Feb 14, 2023 | 11 y | 0 |
| J••• W••••• M•••• | Midland, Tx | Feb 14, 2023 | 10 y | 0 |
| J•••• T••••• D•••••••• | Appleton, Wi | Feb 22, 2023 | 29 y | 1 |
| W•••••• D••• F•••••• | Ellington, Ct | Mar 15, 2023 | 40 y | 3 |
| T••• C•••••• J••••• | Cromwell, Ct | Mar 15, 2023 | 41 y | 3 |
| S•••••••• S•••••••• M•••• | Appleton, Wi | Apr 5, 2023 | 19 y | 3 |
| N••••••• P••••••••• | Glastonbury, Ct | Apr 5, 2023 | 12 y | 1 |
| C•••••• J••••• M•••••• | Appleton, Wi | Apr 5, 2023 | 20 y | 3 |
| T••••• S••••• | S••••Sdale, Az | Apr 25, 2023 | 12 y | 2 |
| M••• A••••• H••• | Old Saybrook, Ct | May 31, 2023 | 13 y | 1 |
| T••••• A•••• W••••••• | Appleton, Wi | Jun 13, 2023 | 29 y | 2 |
| B•• B•••••••• K•••••• | Appleton, Wi | Jun 22, 2023 | 21 y | 2 |
| D•••• E••••• P••••• | Appleton, Wi | Jul 7, 2023 | 26 y | 2 |
| R•••••• E•••••• C••••• | Glastonbury, Ct | Sep 13, 2023 | 42 y | 2 |
| J•••• C• L•••• | Cape Coral, Fl | Sep 18, 2023 | 14 y | 1 |
| K•••••••• K•••••• D••• | Appleton, Wi | Sep 19, 2023 | 11 y | 0 |
| M••• W•••••• G••••••• | Appleton, Wi | Sep 29, 2023 | 42 y | 2 |
Advisor movement
2 left, 29 joined in 12 months
net +27 in 12 months0 left in 90 days2 joined in 90 daysdeparture rate 2.0% of current headcount13 left over 36 months
Left, latest
- K••• M••••••• B•••• to L•• F•••••••• L••Feb 6, 2026 · RIA to affiliated broker-dealer or bank
- M•••••• S•••• G••••••• to L•• F•••••••• L••Nov 26, 2025 · RIA to affiliated broker-dealer or bank
- A••••• J• K•••• to W•••••• C••••• F•••••••• A••••••• L••Jul 24, 2024 · RIA to RIA
- S•••••• C•••••• F•••••• to L•• F•••••••• L••May 30, 2024 · RIA to affiliated broker-dealer or bank
- C••• J•••• R••• to O•••••••• F•••••••• S••••••• L••Sep 26, 2023 · RIA to RIA
- T••••• J••• S•••• to O•••••••• F•••••••• S••••••• L••Sep 26, 2023 · RIA to RIA
- S••• D•••• G••••• to O•••••••• F•••••••• S••••••• L••Sep 26, 2023 · RIA to RIA
- T•••••• J•••• S•••••• to O•••••••• F•••••••• S••••••• L••Sep 26, 2023 · RIA to RIA
- M•••••• R••••• D•••••••• to O•••••••• F•••••••• S••••••• L••Sep 26, 2023 · RIA to RIA
- E••• K•• G•••••• to O•••••••• F•••••••• S••••••• L••Sep 26, 2023 · RIA to RIA
- G•••• S••••••• to O•••••••• F•••••••• S••••••• L••Sep 26, 2023 · RIA to RIA
- E••• N••••• L•••••• to O•••••••• F•••••••• S••••••• L••Sep 26, 2023 · RIA to RIA
- J••••• A••••• to O•••••••• F•••••••• S••••••• L••Sep 26, 2023 · RIA to RIA
- L••••• J••• H•••• to W••••• E••••••••• A••••••• S•••••••• L••Jun 15, 2023 · RIA to RIA
- R••• T••••• S•••••• to S•• I••••••••• S•••••••Feb 16, 2023 · RIA to RIA
Joined, latest
- J••••• W•••• from E•••••••• A•••••••• L••Sep 14, 2026 · Affiliated broker-dealer or bank to independent RIA
- W•••••• A•••••••• E•••• from V••• I••••••••• M••••••••• C•• L••Aug 25, 2026 · Other
- E••• E••••• L•••••••• from R•••••• I•••••••••Jun 4, 2026 · Other
- H••• S••••••• from L•• E••••••••• L••May 21, 2026 · Affiliated broker-dealer or bank to independent RIA
- B•••• K•••••• from M••••• O• O•••• I••••••• S•••••••• I•••May 12, 2026 · RIA to RIA
- J••• J••••• A••• from E•••••••• A••••••• P••••••• L••Apr 27, 2026 · RIA to RIA
- J•••• H•••• P•••• from I•••••• A•••••••Apr 10, 2026 · RIA to RIA
- J•••• M•••••• from E•••••••• A•••••••• L••Mar 24, 2026 · Affiliated broker-dealer or bank to independent RIA
- W•••••• J•• G•••••••• from O•••• W•••••• I•••Mar 4, 2026 · Affiliated broker-dealer or bank to independent RIA
- J•••••• W••••• M•••••• from I••••••••• A•••••• A•••••••• L••Feb 26, 2026 · Other
- N••• P••••• M•••••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Feb 18, 2026 · Other
- A•••• C•••••• P••••• from E•••••••• A•••••••• L••Feb 5, 2026 · Affiliated broker-dealer or bank to independent RIA
- S•••• D•••• K•••••••• from O•••• W•••••• I•••Feb 5, 2026 · Affiliated broker-dealer or bank to independent RIA
- S•• M•••••• V••••••• from E•••••••• A•••••••• L••Feb 4, 2026 · Affiliated broker-dealer or bank to independent RIA
- R••••• D••••• A••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 30, 2026 · Wirehouse to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 6 left for O•••••••• F•••••••• S••••••• L••Sep 26, 2023 · Appleton, Wi
- 2 joined from E•••••••• A•••••••• L••Feb 5, 2026 · Syracuse, Ny
- 3 joined from O•••• W•••••• I•••Nov 19, 2025 · Eau Claire, Wi
- 2 joined from I••••••••• A•••••• A•••••••• L••Aug 21, 2025 · Montgomery, Al
- 2 joined from C•••••••• I••••••••• R••••••• A•••••••• I•••Apr 3, 2023 · Ellington, Ct
- 2 joined from A•••••••• P•••• I•••Oct 25, 2022 · Glastonbury, Ct
- 4 joined from A•••••••• P•••• I•••Oct 25, 2022 · Appleton, Wi
- 2 joined from S•• I••••••••• I•••Feb 14, 2018 · G•••• Bay, Wi
- 6 joined from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Nov 29, 2017 · Los Angeles, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• J•••• A•• · Chief Compliance Officer And Presidentcontrolsince 08/2022 · owns less than 5%
- H•••• E•••• D••• · Chief Executive Officercontrolsince 08/2022 · owns 25% to 50%
- K••••••• M••••••• G••••• · Chief Eng•••Ment Officercontrolsince 08/2022 · owns less than 5%
- W•••• D••••• H••••••• · Chief Visionary Officercontrolsince 08/2022 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Appleton, Wi · principal | 104 | 41 | 0 | ||
| Glastonbury, Ct | 15 | 4 | 1 | ||
| Eau Claire, Wi | 5 | 3 | 0 | ||
| Montgomery, Al | 3 | 2 | 0 | ||
| Cape Coral, Fl | 3 | 1 | 0 | ||
| Midland, Tx | 3 | 0 | 0 | ||
| Germant•••, Wi | 2 | 1 | 0 | ||
| Menasha, Wi | 2 | 0 | 0 | ||
| Bellevue, Wa | 2 | 2 | 0 | ||
| Batavia, Il | 2 | 1 | 0 | ||
| Newburyport, Ma | 2 | 1 | 0 | ||
| North Hampton, Nh | 2 | 0 | 0 | ||
| Fitchburg, Wi | 2 | 0 | 0 | ||
| G••••••, Az | 2 | 0 | 0 | ||
| Morris, Mn | 0 | 0 | 0 | ||
| Van Wert, Oh | 0 | 0 | 0 | ||
| Minneapolis, Mn | 0 | 0 | 0 | ||
| Seattle, Wa | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Glastonbury, CT9 employees
- Midland, TX3 employees
- Madison, WI2 employees
- Eau Claire, WI1 employees
- Estes Park, CO1 employees
- Fort W••••, IN1 employees
- Germant•••, WI1 employees
- Lakeville, MN1 employees
- Manitowoc, WI1 employees
- Menasha, WI1 employees
- Newburyport, MA1 employees
- Washington, IL1 employees
- Wausau, WI1 employees
- Batvia, IL1 employees
- , 1 employees
- Delavan, WI1 employees
- Easton, MD1 employees
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 26, 2026RAUM (Item 5.F) moved from $1,249,772,416 to $2,278,835,584 (+82.0%) between the annual amendments of 2025-03-31 and 2026-03-26; the peer median change was +17.0% (1298 comparable advisers, 97.0th percentile of changes)peers: WEALTH_I•••••••••, $1B to $5B (1,298) · 97% percentile
- account count surgeChange between filings · filing Mar 26, 2026accounts (Item 5.F.2.f) moved from 5,702.0 to 10,635.0 (+87.0%) between the annual amendments of 2025-03-31 and 2026-03-26; the peer median change was +6.0% (1206 comparable advisers, 95.0th percentile of changes)peers: WEALTH_I•••••••••, $1B to $5B (1,206) · 95% percentile
- client count surgeChange between filings · filing Mar 26, 2026individual and HNW clients (Item 5.D) moved from 4,086.0 to 7,312.0 (+79.0%) between the annual amendments of 2025-03-31 and 2026-03-26; the peer median change was +5.0% (1132 comparable advisers, 98.0th percentile of changes)peers: WEALTH_I•••••••••, $1B to $5B (1,132) · 98% percentile
- discretionary share shiftChange between filings · filing Mar 26, 2026discretionary share of RAUM moved from 39.0% to 73.0% between the annual amendments of 2025-03-31 and 2026-03-26peers: WEALTH_I•••••••••, $1B to $5B (1,362)
- HNW share shiftChange between filings · filing Mar 26, 2026HNW share of RAUM moved from 31.0% to 57.0% between the annual amendments of 2025-03-31 and 2026-03-26peers: WEALTH_I•••••••••, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 5,702 to 10,635Nov 25, 2025 to Mar 26, 2026
- Advisory employees · 66 to 83Nov 25, 2025 to Mar 26, 2026
- BD registered reps · 61 to 81Nov 25, 2025 to Mar 26, 2026
- Charity clients · 12 to 13Nov 25, 2025 to Mar 26, 2026
- Corporate clients · 23 to 32Nov 25, 2025 to Mar 26, 2026
- HNW clients · 180 to 1,605Nov 25, 2025 to Mar 26, 2026
- Individual clients · 3,906 to 5,707Nov 25, 2025 to Mar 26, 2026
- Pension plan clients · unset to 25.0Nov 25, 2025 to Mar 26, 2026
- Employees · 66 to 83Nov 25, 2025 to Mar 26, 2026
- Financial planning clients · 26-50 to 51-100Nov 25, 2025 to Mar 26, 2026
- State-registered IARs · 66 to 83Nov 25, 2025 to Mar 26, 2026
- Other offices · 24 to 25Nov 25, 2025 to Mar 26, 2026
- Discretionary RAUM · $488M to $1.7BNov 25, 2025 to Mar 26, 2026
- HNW RAUM · $382M to $1.3BNov 25, 2025 to Mar 26, 2026
- Individual RAUM · $855M to $921MNov 25, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $762M to $615MNov 25, 2025 to Mar 26, 2026
- Pension RAUM · $2.8M to $35.0MNov 25, 2025 to Mar 26, 2026
- RAUM · $1.2B to $2.3BNov 25, 2025 to Mar 26, 2026
- Other offices · 25 to 24Aug 26, 2025 to Nov 25, 2025
- Financial planning clients · 26-50 to 26-50Mar 31, 2025 to Jun 26, 2025
- Accounts · 3,968 to 5,702Sep 16, 2024 to Mar 31, 2025
- Advisory employees · 51 to 66Sep 16, 2024 to Mar 31, 2025
- BD registered reps · 50 to 61Sep 16, 2024 to Mar 31, 2025
- Charity clients · 6 to 12Sep 16, 2024 to Mar 31, 2025
- Corporate clients · 11 to 23Sep 16, 2024 to Mar 31, 2025
- HNW clients · 130 to 180Sep 16, 2024 to Mar 31, 2025
- Individual clients · 2,453 to 3,906Sep 16, 2024 to Mar 31, 2025
- Employees · 80 to 66Sep 16, 2024 to Mar 31, 2025
- Financial planning clients · 51-100 to 26-50Sep 16, 2024 to Mar 31, 2025
- State-registered IARs · 50 to 66Sep 16, 2024 to Mar 31, 2025
- Other offices · 24 to 25Sep 16, 2024 to Mar 31, 2025
- Discretionary RAUM · $557M to $488MSep 16, 2024 to Mar 31, 2025
- HNW RAUM · $226M to $382MSep 16, 2024 to Mar 31, 2025
- Individual RAUM · $655M to $855MSep 16, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $335M to $762MSep 16, 2024 to Mar 31, 2025
- Pension RAUM · $3.9M to $2.8MSep 16, 2024 to Mar 31, 2025
- RAUM · $892M to $1.2BSep 16, 2024 to Mar 31, 2025
- Accounts · 6,080 to 3,968Jan 29, 2024 to Mar 28, 2024
- Advisory employees · 38 to 51Jan 29, 2024 to Mar 28, 2024
- BD registered reps · 35 to 50Jan 29, 2024 to Mar 28, 2024
Signals
31 dated events
- J••••• W•••• registered as an investment adviser representative at G•••••• W••••• P•••••••• L••Sep 14, 2026 · a•••••• registered · fact
- G•••••• W••••• P•••••••• L•• reported 83 state-registered advisory representatives, up from 66 (2025-11-25 to 2026-03-26)Mar 26, 2026 · ria a•••••• headcount change · derived
- G•••••• W••••• P•••••••• L•• reported RAUM $2.3B, up 82% from $1.2B (2025-11-25 to 2026-03-26)Mar 26, 2026 · RAUM change · derived
- K••• M••••••• B•••• left G•••••• W••••• P•••••••• L•• for L•• F•••••••• L•• (registered 2026-02-06)Feb 6, 2026 · a•••••• firm change · fact
- 2 advisors left E•••••••• A•••••••• L•• (Syracuse, NY) for G•••••• W••••• P•••••••• L•• a day apartFeb 5, 2026 · Team lift-out · derived
- M•••••• S•••• G••••••• left G•••••• W••••• P•••••••• L•• for L•• F•••••••• L•• (registered 2025-11-26)Nov 26, 2025 · a•••••• firm change · fact
- 3 advisors left O•••• W•••••• I••• (Eau Claire, WI) for G•••••• W••••• P•••••••• L•• within 15 daysNov 19, 2025 · Team lift-out · derived
- 2 advisors left I••••••••• A•••••• A•••••••• L•• (Montgomery, AL) for G•••••• W••••• P•••••••• L•• on the same dayAug 21, 2025 · Team lift-out · derived
- G•••••• W••••• P•••••••• L•• reported 66 state-registered advisory representatives, up from 50 (2024-09-16 to 2025-03-31)Mar 31, 2025 · ria a•••••• headcount change · derived
- G•••••• W••••• P•••••••• L•• reported RAUM $1.2B, up 40% from $891.6M (2024-09-16 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- A••••• J• K•••• left G•••••• W••••• P•••••••• L•• for W•••••• C••••• F•••••••• A••••••• L•• (registered 2024-07-16)Jul 24, 2024 · a•••••• firm change · fact
- S•••••• C•••••• F•••••• left G•••••• W••••• P•••••••• L•• for L•• F•••••••• L•• (registered 2024-05-13)May 30, 2024 · a•••••• firm change · fact
- G•••••• W••••• P•••••••• L•• reported 50 state-registered advisory representatives, up from 38 (2024-01-29 to 2024-03-28)Mar 28, 2024 · ria a•••••• headcount change · derived
- E••• K•• G•••••• left G•••••• W••••• P•••••••• L•• for O•••••••• F•••••••• S••••••• L•• (registered 2023-09-22)Sep 26, 2023 · a•••••• firm change · fact
- J••••• A••••• left G•••••• W••••• P•••••••• L•• for O•••••••• F•••••••• S••••••• L•• (registered 2023-09-25)Sep 26, 2023 · a•••••• firm change · fact
- C••• J•••• R••• left G•••••• W••••• P•••••••• L•• for O•••••••• F•••••••• S••••••• L•• (registered 2023-09-22)Sep 26, 2023 · a•••••• firm change · fact
- G•••• S••••••• left G•••••• W••••• P•••••••• L•• for O•••••••• F•••••••• S••••••• L•• (registered 2023-09-22)Sep 26, 2023 · a•••••• firm change · fact
- S••• D•••• G••••• left G•••••• W••••• P•••••••• L•• for O•••••••• F•••••••• S••••••• L•• (registered 2023-09-22)Sep 26, 2023 · a•••••• firm change · fact
- T••••• J••• S•••• left G•••••• W••••• P•••••••• L•• for O•••••••• F•••••••• S••••••• L•• (registered 2023-09-22)Sep 26, 2023 · a•••••• firm change · fact
- T•••••• J•••• S•••••• left G•••••• W••••• P•••••••• L•• for O•••••••• F•••••••• S••••••• L•• (registered 2023-09-22)Sep 26, 2023 · a•••••• firm change · fact
- E••• N••••• L•••••• left G•••••• W••••• P•••••••• L•• for O•••••••• F•••••••• S••••••• L•• (registered 2023-09-22)Sep 26, 2023 · a•••••• firm change · fact
- M•••••• R••••• D•••••••• left G•••••• W••••• P•••••••• L•• for O•••••••• F•••••••• S••••••• L•• (registered 2023-09-22)Sep 26, 2023 · a•••••• firm change · fact
- 7 advisors left G•••••• W••••• P•••••••• L•• (Appleton, WI) for O•••••••• F•••••••• S••••••• L•• on the same daySep 26, 2023 · Team lift-out · derived
- L••••• J••• H•••• left G•••••• W••••• P•••••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2023-06-01)Jun 15, 2023 · a•••••• firm change · fact
- 2 advisors left C•••••••• I••••••••• R••••••• A•••••••• I••• (Ellington, CT) for G•••••• W••••• P•••••••• L•• on the same dayApr 3, 2023 · Team lift-out · derived
- G•••••• W••••• P•••••••• L•• reported 23 offices beyond its principal office, up from 17 (2023-02-08 to 2023-03-29)Mar 29, 2023 · Office count change · derived
- R••• T••••• S•••••• left G•••••• W••••• P•••••••• L•• for S•• I••••••••• S••••••• (registered 2024-09-09)Feb 16, 2023 · a•••••• firm change · fact
- J•••• P••••• W•••• left G•••••• W••••• P•••••••• L•• for A•••••• A••••••• S••••••• (registered 2022-11-29)Jan 18, 2023 · a•••••• firm change · fact
- 6 advisors left A•••••••• P•••• I••• (Appleton, WI) for G•••••• W••••• P•••••••• L•• on the same dayOct 25, 2022 · Team lift-out · derived
- 2 advisors left A•••••••• P•••• I••• (Glastonbury, CT) for G•••••• W••••• P•••••••• L•• on the same dayOct 25, 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
- Firm profile
- linkedin.com/company/gateway-financial-partnersreportedpublic record, Form ADV, Sep 18, 2026
- Website
- joingateway.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (920) 731-9293reportedpublic record, Form ADV, Jun 12, 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
- $22.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026