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
C•••• A••••••• L••
Latest filing Jun 2, 2026
First filing on the tape Feb 26, 2026 · 3 filings
SEC status approved since Feb 27, 2026
RAUM
$122M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$121M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$61.2M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$122M as of Jun 2, 2026
Feb 26, 2026$0 then
HNW client RAUM: $30.1M
State-registered IARs (5.B.3)2 as of Jun 2, 2026
Feb 26, 20262 then
Employees (5.A)2 as of Jun 2, 2026
Feb 26, 20262 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 2, 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $61.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 272derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $140,924derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$91.0M74%
- High-net-worth individuals$30.1M25%
- Charitable organizations$1.4M1.2%
- Individual clients
- 523reported
- HNW clients
- 21reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 869reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• L•••• D•••• | East Troy, Wi | Mar 3, 2026 | 20 y | 3 |
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
- T••••• L•••• D•••• from B•••••••• A••••••• S•••••••• L••Mar 3, 2026 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• T•••••• L•••• · Cco, Managing Membercontrolsince 11/2025 · 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 |
|---|---|---|---|---|---|
| East Troy, Wi · principal | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 0 to 869Mar 6, 2026 to Jun 2, 2026
- Charity clients · unset to 2.0Mar 6, 2026 to Jun 2, 2026
- HNW clients · unset to 21.0Mar 6, 2026 to Jun 2, 2026
- Individual clients · unset to 523.0Mar 6, 2026 to Jun 2, 2026
- Discretionary RAUM · $0 to $122MMar 6, 2026 to Jun 2, 2026
- HNW RAUM · unset to 30090000.0Mar 6, 2026 to Jun 2, 2026
- Individual RAUM · unset to 90952548.0Mar 6, 2026 to Jun 2, 2026
- RAUM · $0 to $122MMar 6, 2026 to Jun 2, 2026
Signals
No event on the tape.
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
- 262-977-9907reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- c•••••••••.netreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 262-977-9907reportedpublic record, Form ADV, Jun 2, 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
- $61.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026