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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SEC-registered adviser
R••••••• I••••••••• S••••••• L••
Latest filing Aug 10, 2026
First filing on the tape Jan 8, 2024 · 19 filings
SEC status approved since Mar 7, 2024
RAUM
$453M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$446M individuals and HNW
Advisors
14
registered through the firm on IAPD
RAUM per advisor
$32.4M
derived; firm RAUM over IAPD count
Employees
22
11 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$453M as of Aug 10, 2026
Feb 19, 2025$366M then
HNW client RAUM$338M as of Aug 10, 2026
Feb 19, 2025$262M then
State-registered IARs (5.B.3)14 as of Aug 10, 2026
Feb 19, 202510 then
Employees (5.A)22 as of Aug 10, 2026
Feb 19, 202510 then
Private funds: no history
RAUM +15% over the last fiscal yearIARs 10 to 14
Practice profile
derived from the filing of Aug 10, 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
- 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $32.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 63derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $859,125derivedHNW RAUM over HNW clients
- Average account
- $315,167derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 7.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +30%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.4%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
- Wrap fee program
- $453MreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$338M74%
- Individuals$108M24%
- Charitable organizations$4.3M0.9%
- Pension and profit-sharing plans$3.0M0.7%
- Corporations and businesses$270,5170.1%
- Individual clients
- 484reported
- HNW clients
- 393reported
- Pension plan clients
- 2reported
- Charitable clients
- 7reported
- Accounts
- 1,438reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $453M 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=14.0derived
Advisors registered through the firm
14 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••••••• A•••• B•••••Certified Financial Planner | Mequon, Wi | May 8, 2024 | 18 y | 0 |
| C••••••• M• K•••••••Certified Financial Planner | Mequon, Wi | May 21, 2024 | 14 y | 4 |
| G•••• A••• S•••••• | Mequon, Wi | May 21, 2024 | 25 y | 2 |
| K••••• A•• D•••••• | Mequon, Wi | May 30, 2024 | 16 y | 4 |
| M•••••• R•••• R••••••• | Mequon, Wi | Jun 12, 2024 | 30 y | 2 |
| J••••• E••••• B••••Certified Financial Planner | Mequon, Wi | Jun 12, 2024 | 12 y | 0 |
| P•••• E•••• B•••• | Mequon, Wi | Jun 14, 2024 | 21 y | 1 |
| W•••••• R••• G•••Certified Financial Planner | Mequon, Wi | Jun 18, 2024 | 22 y | 1 |
| M••••• J••• M•••••• | Mequon, Wi | Jul 9, 2024 | 20 y | 1 |
| B••••••• L• L•••••••••Certified Financial Planner | Dubuque, Ia | Aug 29, 2025 | 18 y | 2 |
| A•••••••• S••••• A••••• | Mequon, Wi | Sep 15, 2025 | 12 y | 0 |
| M••• B••••••• K••••••• | Mequon, Wi | Sep 30, 2025 | 25 y | 7 |
| A•••••••• J•••• M••••••••• | Mequon, Wi | Mar 25, 2026 | 12 y | 0 |
| B••••• N••••• G•••••• | Mequon, Wi | Apr 2, 2026 | 17 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- M••• B••••••• K••••••• from L•• F•••••••• L••Sep 30, 2025 · Affiliated broker-dealer or bank to independent RIA
- B••••••• L• L••••••••• from L•• F•••••••• L••Aug 29, 2025 · Affiliated broker-dealer or bank to independent RIA
- M••••• J••• M•••••• from E••••• J••••Jul 9, 2024 · Affiliated broker-dealer or bank to independent RIA
- W•••••• R••• G••• from R••••• W• B•••• • C•• I•••••••••Jun 18, 2024 · Other
- P•••• E•••• B•••• from W•••• F•••• A•••••••Jun 14, 2024 · Wirehouse to independent RIA
- M•••••• R•••• R••••••• from C•••• I••••••••• S••••••• C••••Jun 12, 2024 · Other
- K••••• A•• D•••••• from G••••• R••••••••• P••••••• L••May 30, 2024 · Other
- G•••• A••• S•••••• from M••••• S••••••May 21, 2024 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- C••••••• M• K••••••• from R••••• W• B•••• • C•• I•••••••••May 21, 2024 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••••••• M••••••• R•••• · Principal/Ceo/Ccocontrolsince 09/2006 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Mequon, Wi · principal | 14 | 3 | 0 | ||
| Dubuque, Ia | 4 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Dubuque, IA1 employees
What changed
consecutive filings, newest first
- Advisory employees · 14 to 11Jun 29, 2026 to Aug 10, 2026
- Employees · 14 to 22Jun 29, 2026 to Aug 10, 2026
- Advisory employees · 13 to 14Mar 23, 2026 to Jun 29, 2026
- BD registered reps · 13 to 14Mar 23, 2026 to Jun 29, 2026
- Employees · 13 to 14Mar 23, 2026 to Jun 29, 2026
- State-registered IARs · 13 to 14Mar 23, 2026 to Jun 29, 2026
- Accounts · 1,306 to 1,438Oct 15, 2025 to Mar 23, 2026
- Corporate clients · 3 to 4Oct 15, 2025 to Mar 23, 2026
- HNW clients · 376 to 393Oct 15, 2025 to Mar 23, 2026
- Individual clients · 472 to 484Oct 15, 2025 to Mar 23, 2026
- Pension plan clients · 4 to 2Oct 15, 2025 to Mar 23, 2026
- Financial planning clients · 51-100 to 0Oct 15, 2025 to Mar 23, 2026
- Discretionary RAUM · $393M to $453MOct 15, 2025 to Mar 23, 2026
- HNW RAUM · $287M to $338MOct 15, 2025 to Mar 23, 2026
- Individual RAUM · $101M to $108MOct 15, 2025 to Mar 23, 2026
- Pension RAUM · $2.8M to $3.0MOct 15, 2025 to Mar 23, 2026
- RAUM · $393M to $453MOct 15, 2025 to Mar 23, 2026
- Wrap assets (sponsor) · $393M to $453MOct 15, 2025 to Mar 23, 2026
- Advisory employees · 10 to 13Jul 14, 2025 to Oct 15, 2025
- BD registered reps · 10 to 13Jul 14, 2025 to Oct 15, 2025
- Employees · 10 to 13Jul 14, 2025 to Oct 15, 2025
- State-registered IARs · 10 to 13Jul 14, 2025 to Oct 15, 2025
- Financial planning clients · 51-100 to 51-100Mar 25, 2025 to Jul 14, 2025
- Accounts · 1,255 to 1,306Feb 19, 2025 to Mar 25, 2025
- Charity clients · 5 to 7Feb 19, 2025 to Mar 25, 2025
- HNW clients · 354 to 376Feb 19, 2025 to Mar 25, 2025
- Individual clients · 459 to 472Feb 19, 2025 to Mar 25, 2025
- Pension plan clients · 5 to 4Feb 19, 2025 to Mar 25, 2025
- Financial planning clients · 0 to 51-100Feb 19, 2025 to Mar 25, 2025
- Discretionary RAUM · $366M to $393MFeb 19, 2025 to Mar 25, 2025
- HNW RAUM · $262M to $287MFeb 19, 2025 to Mar 25, 2025
- Individual RAUM · $99.0M to $101MFeb 19, 2025 to Mar 25, 2025
- Pension RAUM · $2.8M to $2.8MFeb 19, 2025 to Mar 25, 2025
- RAUM · $366M to $393MFeb 19, 2025 to Mar 25, 2025
- Wrap assets (sponsor) · $366M to $393MFeb 19, 2025 to Mar 25, 2025
- Advisory employees · 11 to 10Dec 3, 2024 to Feb 19, 2025
- BD registered reps · 11 to 10Dec 3, 2024 to Feb 19, 2025
- Employees · 11 to 10Dec 3, 2024 to Feb 19, 2025
- State-registered IARs · 11 to 10Dec 3, 2024 to Feb 19, 2025
- Accounts · 1,369 to 1,255Jul 11, 2024 to Aug 8, 2024
Signals
3 dated events
- A•••• C••••••••• B••••• (Cco) no longer on Schedule A of R••••••• I••••••••• S••••••• L•• (listed 2024-09-05, absent 2024-12-03)Dec 3, 2024 · Control person left · inference
- R••••••• I••••••••• S••••••• L•• reported 11 state-registered advisory representatives, down from 22 (2024-07-11 to 2024-08-08)Aug 8, 2024 · Advisor headcount change · derived
- R••••••• I••••••••• S••••••• L•• filed its initial SEC registration (Form ADV)Jan 8, 2024 · 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
- 262-242-4200reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 262-242-4240reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- richmondis.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 262-242-4200reportedpublic record, Form ADV, Aug 10, 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
- $32.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026