DFX Intelligence

RIA Intelligence

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SEC-registered adviser

C••••••••• F•••••••• G••••

Independent wealth managerAppleton, WisconsinCRD 324255SEC 801-127126website IAPD

Legal name C••••••••• E••••••••• L••

Latest filing Feb 17, 2026

First filing on the tape Dec 2, 2022 · 10 filings

SEC status approved since Jan 3, 2023

RAUM

$220M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$220M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$44.0M

derived; firm RAUM over IAPD count

Employees

5 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

10 filings and snapshots on the tape

RAUM$220M as of Feb 17, 2026

Mar 12, 2024$147M then

HNW client RAUM$108M as of Feb 17, 2026

Mar 12, 2024$62.0M then

State-registered IARs (5.B.3)5 as of Feb 17, 2026

Mar 12, 20244 then

Employees (5.A)5 as of Feb 17, 2026

Mar 12, 20244 then

Private funds: no history

RAUM +20% over the last fiscal yearIARs 5 to 5

Practice profile

derived from the filing of Feb 17, 2026; every figure names its basis

Archetypes, each a printed rule

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

RAUM per advisor: $44.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 116derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.9MderivedHNW RAUM over HNW clients
Average account: $154,080derivedRAUM 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: 1.7derived3 offices incl. principal (1.F.5)
RAUM growth, one year: +20%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +28%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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)
receives research or other products from a broker-dealer, soft dollars (8.E)
compensates persons for client referrals (8.G.1)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Individuals$112M51%
High-net-worth individuals$108M49%

Individual clients: 523reported
HNW clients: 56reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 1,429reported
Financial planning clients: 101-250reported
Wrap fee programs: noreported
Custody of client assets: noreported
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

5 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
T••• M•••••• L••••••	Appleton, Wi	Jan 3, 2023	15 y	1
G•• M•••••••	Appleton, Wi	Jan 3, 2023	12 y	4
B•••• M•••••• M•••••••••	Appleton, Wi	Jan 3, 2023	10 y	1
A••••• R• E••••••Certified Financial Planner, Chartered Financial Consultant	St. Petersburg, Fl	Jan 3, 2023	10 y	2
J•••• T•••• D•••••••	Appleton, Wi	May 18, 2023	12 y	3

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

J•••• T•••• D••••••• from T••••••• I••••••••• M••••••••• I•••
May 18, 2023 · Affiliated broker-dealer or bank to independent RIA
T••• M•••••• L•••••• from P•••••••• S••••••••• I•••
Jan 3, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
G•• M••••••• from P•••••••• S••••••••• I•••
Jan 3, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
B•••• M•••••• M••••••••• from P•••••••• S••••••••• I•••
Jan 3, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
A••••• R• E•••••• from P•••••••• S••••••••• I•••
Jan 3, 2023 · Affiliated broker-dealer or bank to a newly registered adviser

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 joined from P•••••••• S••••••••• I•••
Jan 6, 2023 · Marathon, Fl
2 joined from P•••••••• S••••••••• I•••
Jan 6, 2023 · Appleton, Wi

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

L••••••• T•••• M•••••• · Chief Compliance Officercontrol
since 12/2022 · owns less than 5%
L••••••• T•••• M•••••• · Managing Membercontrol
since 12/2022 · owns 75% or more of L•••••• F•••••••• L••
M•••••••• G•• · Ownercontrol
since 12/2022 · owns 75% or more of M••••••• A••••• H••••••• L••

Entity owners

L•••••• F•••••••• L•• · Managing Member
direct · owns 75% or more
M••••••• A••••• H••••••• L•• · Member
direct · owns 10% to 25%

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	5	0	0

Offices

Schedule D 1.F, the 25 largest

A•••••, WI1 employees
St. Petersbrg, FL1 employees

ADV anomalies

2 against comparable advisers; where to look, not conclusions

affiliate changedChange between filings · filing Feb 17, 2026
broker-dealer affiliate (Item 7.A.1): yes on the filing of 2025-03-24, no on the filing of 2026-02-17
peers: independent wealth managers, $100M to $500M (5,678)
compensation changedChange between filings · filing Feb 17, 2026
hourly charges (Item 5.E.2): no on the filing of 2025-03-24, yes on the filing of 2026-02-17
peers: independent wealth managers, $100M to $500M (5,678)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 1,386 to 1,429
Mar 24, 2025 to Feb 17, 2026
HNW clients · 55 to 56
Mar 24, 2025 to Feb 17, 2026
Individual clients · 396 to 523
Mar 24, 2025 to Feb 17, 2026
Employees · 7 to 5
Mar 24, 2025 to Feb 17, 2026
Financial planning clients · 1-10 to 101-250
Mar 24, 2025 to Feb 17, 2026
Discretionary RAUM · $183M to $219M
Mar 24, 2025 to Feb 17, 2026
HNW RAUM · $96.1M to $108M
Mar 24, 2025 to Feb 17, 2026
Individual RAUM · $87.8M to $112M
Mar 24, 2025 to Feb 17, 2026
Non-discretionary RAUM · $574,202 to $694,638
Mar 24, 2025 to Feb 17, 2026
RAUM · $184M to $220M
Mar 24, 2025 to Feb 17, 2026
Related broker-dealer · true to false
Mar 24, 2025 to Feb 17, 2026
Advisory activities · 5 to 4
Feb 24, 2025 to Mar 24, 2025
Financial planning clients · 1-10 to 1-10
Feb 24, 2025 to Mar 24, 2025
State-registered IARs · 4 to 5
Nov 14, 2024 to Feb 24, 2025
Accounts · 1,084 to 1,386
Nov 14, 2024 to Feb 24, 2025
Advisory employees · 4 to 5
Nov 14, 2024 to Feb 24, 2025
BD registered reps · 2 to 0
Nov 14, 2024 to Feb 24, 2025
HNW clients · 32 to 55
Nov 14, 2024 to Feb 24, 2025
Individual clients · 363 to 396
Nov 14, 2024 to Feb 24, 2025
Employees · 4 to 7
Nov 14, 2024 to Feb 24, 2025
Financial planning clients · 0 to 1-10
Nov 14, 2024 to Feb 24, 2025
Discretionary RAUM · $146M to $183M
Nov 14, 2024 to Feb 24, 2025
HNW RAUM · $62.0M to $96.1M
Nov 14, 2024 to Feb 24, 2025
Individual RAUM · $84.8M to $87.8M
Nov 14, 2024 to Feb 24, 2025
Non-discretionary RAUM · $554,526 to $574,202
Nov 14, 2024 to Feb 24, 2025
RAUM · $147M to $184M
Nov 14, 2024 to Feb 24, 2025
Accounts · 847 to 1,084
Aug 3, 2023 to Mar 12, 2024
BD registered reps · 4 to 2
Aug 3, 2023 to Mar 12, 2024
Charity clients · unset to 0.0
Aug 3, 2023 to Mar 12, 2024
Corporate clients · unset to 0.0
Aug 3, 2023 to Mar 12, 2024
HNW clients · 39 to 32
Aug 3, 2023 to Mar 12, 2024
Individual clients · 808 to 363
Aug 3, 2023 to Mar 12, 2024
Pension plan clients · unset to 0.0
Aug 3, 2023 to Mar 12, 2024
Pooled vehicle clients · unset to 0.0
Aug 3, 2023 to Mar 12, 2024
Employees · 10 to 4
Aug 3, 2023 to Mar 12, 2024
Discretionary RAUM · $103M to $146M
Aug 3, 2023 to Mar 12, 2024
HNW RAUM · $53.7M to $62.0M
Aug 3, 2023 to Mar 12, 2024
Individual RAUM · $49.1M to $84.8M
Aug 3, 2023 to Mar 12, 2024
Non-discretionary RAUM · $0 to $554,526
Aug 3, 2023 to Mar 12, 2024
Pension RAUM · unset to 0.0
Aug 3, 2023 to Mar 12, 2024

Signals

3 dated events

2 advisors left P•••••••• S••••••••• I••• (Appleton, WI) for C••••••••• F•••••••• G•••• on the same day
Jan 6, 2023 · Team lift-out · derived
2 advisors left P•••••••• S••••••••• I••• (Marathon, FL) for C••••••••• F•••••••• G•••• within 6 days
Jan 6, 2023 · Team lift-out · derived
C••••••••• E••••••••• L•• filed its initial SEC registration (Form ADV)
Dec 2, 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: 813-565-2072reportedpublished by the firm, firm site, Sep 16, 2026
Business phone: 920-832-3821reportedpublished by the firm, firm site, Sep 16, 2026
Business phone: 920-883-1025reportedpublished by the firm, firm site, Sep 16, 2026
Website: c••••.comreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 920-832-3821reportedpublic record, Form ADV, Feb 17, 2026
Contact form: c••••.comreportedpublished 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: $44.0Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026