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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Former SEC-registered adviser
H•••••••• F•••••••• G••••
Legal name C••••••••• J• H••••••••• I•••
Latest filing May 14, 2025
First filing on the tape Apr 25, 2023 · 15 filings
SEC status approved since May 26, 2023
RAUM
$270M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$270M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$270M as of May 14, 2025
Feb 5, 2024$200M then
HNW client RAUM$27.9M as of May 14, 2025
Feb 5, 2024$55.4M then
State-registered IARs (5.B.3)5 as of May 14, 2025
Feb 5, 20243 then
Employees (5.A)10 as of May 14, 2025
Feb 5, 20249 then
Private funds: no history
RAUM +35% over the last fiscal yearIARs 3 to 5offices 0 to 1
Practice profile
derived from the filing of May 14, 2025; every figure names its basis
- RAUM per advisor
- $54.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 160derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $150,256derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +35%derivedbetween the last two annual amendments
- Advisor growth, one year
- +67%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +33%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $541MreportedItem 5.I
- Custody
- $6.5M, 38 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
- 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)
- compensates non-employees for client referrals (8.G.2)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$243M90%
- High-net-worth individuals$27.9M10%
- Individual clients
- 789reported
- HNW clients
- 10reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,800reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $270M sponsored, $270M managedreported
- Custody of client assets
- $6.5M for 38 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
4 left, 0 joined in 12 months
net -4 in 12 months0 left in 90 days0 joined in 90 days4 left over 36 months
Left, latest
- C••••• J• K••••• to E•••••• F•••••••• E••••••Oct 29, 2025 · RIA to RIA
- H•••••• S•• V•••• to E•••••• F•••••••• E••••••Oct 29, 2025 · RIA to RIA
- D••• R• G••••• to E•••••• F•••••••• E••••••Oct 29, 2025 · RIA to RIA
- J••••• H•••••••• to E•••••• F•••••••• E••••••Oct 29, 2025 · RIA to RIA
Joined, latest
- C••••• J• K••••• from O•••• W•••••• I•••Oct 27, 2023 · Affiliated broker-dealer or bank to independent RIA
- H•••••• S•• V•••• from O•••• W•••••• I•••Oct 27, 2023 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for E•••••• F•••••••• E••••••Oct 29, 2025 · Eau Claire, Wi · Firm absorbed
- 2 joined from O•••• W•••••• I•••Oct 4, 2023 · Eau Claire, Wi
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• A••••• · Ccocontrolsince 04/2023 · owns less than 5%
- H••••••••• C••••••••• J••••• · Shareholder, Ownercontrolsince 04/2023 · owns 75% or more
Related persons
Schedule D 7.A
- H•••••••• T•• S•••••••• I•••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Eau Claire, Wi · principal | 0 | 0 | 4 |
Offices
Schedule D 1.F, the 25 largest
- Rice Lake, WI1 employees
What changed
consecutive filings, newest first
- Assets in custody · unset to 6464031.0Jan 27, 2025 to Mar 13, 2025
- Custody of client assets · false to trueJan 27, 2025 to Mar 13, 2025
- Accounts · 1,421 to 1,800Oct 29, 2024 to Jan 27, 2025
- Advisory employees · 3 to 5Oct 29, 2024 to Jan 27, 2025
- HNW clients · 54 to 10Oct 29, 2024 to Jan 27, 2025
- Individual clients · 548 to 789Oct 29, 2024 to Jan 27, 2025
- Employees · 9 to 10Oct 29, 2024 to Jan 27, 2025
- Financial planning clients · More than 500 to 0Oct 29, 2024 to Jan 27, 2025
- State-registered IARs · 3 to 5Oct 29, 2024 to Jan 27, 2025
- Discretionary RAUM · $200M to $270MOct 29, 2024 to Jan 27, 2025
- HNW RAUM · $55.4M to $27.9MOct 29, 2024 to Jan 27, 2025
- Individual RAUM · $144M to $243MOct 29, 2024 to Jan 27, 2025
- RAUM · $200M to $270MOct 29, 2024 to Jan 27, 2025
- Wrap assets (manager) · $200M to $270MOct 29, 2024 to Jan 27, 2025
- Wrap assets (sponsor) · $200M to $270MOct 29, 2024 to Jan 27, 2025
- Other offices · 0 to 1Oct 11, 2024 to Oct 29, 2024
- Accounts · 1,216 to 1,421Oct 27, 2023 to Feb 5, 2024
- BD registered reps · 3 to 1Oct 27, 2023 to Feb 5, 2024
- HNW clients · 36 to 54Oct 27, 2023 to Feb 5, 2024
- Individual clients · 511 to 548Oct 27, 2023 to Feb 5, 2024
- Employees · 8 to 9Oct 27, 2023 to Feb 5, 2024
- Insurance-licensed employees · 3 to 0Oct 27, 2023 to Feb 5, 2024
- Discretionary RAUM · $178M to $200MOct 27, 2023 to Feb 5, 2024
- HNW RAUM · $48.1M to $55.4MOct 27, 2023 to Feb 5, 2024
- Individual RAUM · $130M to $144MOct 27, 2023 to Feb 5, 2024
- Pension RAUM · 0.0 to unsetOct 27, 2023 to Feb 5, 2024
- Pooled vehicle RAUM · 0.0 to unsetOct 27, 2023 to Feb 5, 2024
- RAUM · $178M to $200MOct 27, 2023 to Feb 5, 2024
- Wrap assets (manager) · $0 to $200MOct 27, 2023 to Feb 5, 2024
- Wrap assets (sponsor) · $0 to $200MOct 27, 2023 to Feb 5, 2024
- Accounts · 0 to 1,216Jun 1, 2023 to Aug 25, 2023
- HNW clients · unset to 36.0Jun 1, 2023 to Aug 25, 2023
- Individual clients · unset to 511.0Jun 1, 2023 to Aug 25, 2023
- Financial planning clients · 0 to More than 500Jun 1, 2023 to Aug 25, 2023
- Discretionary RAUM · $0 to $178MJun 1, 2023 to Aug 25, 2023
- HNW RAUM · unset to 48100000.0Jun 1, 2023 to Aug 25, 2023
- Individual RAUM · unset to 130200000.0Jun 1, 2023 to Aug 25, 2023
- Pension RAUM · unset to 0.0Jun 1, 2023 to Aug 25, 2023
- Pooled vehicle RAUM · unset to 0.0Jun 1, 2023 to Aug 25, 2023
- RAUM · $0 to $178MJun 1, 2023 to Aug 25, 2023
Signals
8 dated events
- H•••••••• F•••••••• G•••• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $270.5M)Dec 20, 2025 · Left the SEC roster · derived
- C••••• J• K••••• left H•••••••• F•••••••• G•••• for E•••••• F•••••••• E•••••• (registered 2025-09-22)Oct 29, 2025 · Advisor changed firm · fact
- H•••••• S•• V•••• left H•••••••• F•••••••• G•••• for E•••••• F•••••••• E•••••• (registered 2025-09-22)Oct 29, 2025 · Advisor changed firm · fact
- D••• R• G••••• left H•••••••• F•••••••• G•••• for E•••••• F•••••••• E•••••• (registered 2025-09-22)Oct 29, 2025 · Advisor changed firm · fact
- J••••• H•••••••• left H•••••••• F•••••••• G•••• for E•••••• F•••••••• E•••••• (registered 2025-09-22)Oct 29, 2025 · Advisor changed firm · fact
- H•••••••• F•••••••• G••••'s advisors moved to E•••••• F•••••••• E•••••• (Eau Claire, WI): 4 of 4 registered, on the same dayOct 29, 2025 · Firm absorbed (people side) · derived
- 2 advisors left O•••• W•••••• I••• (Eau Claire, WI) for H•••••••• F•••••••• G•••• on the same dayOct 4, 2023 · Team lift-out · derived
- H•••••••• F•••••••• G•••• filed its initial SEC registration (Form ADV)Apr 25, 2023 · 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026