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•• W••••• A••••••• L••
Latest filing Sep 9, 2026
First filing on the tape Mar 17, 2026 · 3 filings
SEC status approved since Mar 10, 2026
RAUM
$138M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$138M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$34.6M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$138M as of Aug 14, 2026
Mar 17, 2026$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Aug 14, 2026
Mar 17, 20261 then
Employees (5.A)5 as of Aug 14, 2026
Mar 17, 20263 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 9, 2026; every figure names its basis
Archetypes, each a printed rule
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $34.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $79,193derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 0.8derived5 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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $138MreportedItem 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
- Individuals$138M100%
- Individual clients
- 1,058reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,747reported
- Financial planning clients
- n/areported
- Wrap fee programs
- $0 sponsored, $138M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=5.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••• A••• S•••• | Mineral Point, Wi | Mar 14, 1997 | 40 y | 0 |
| J••••••• P••• L•••••••• | Dodgeville , Wi | Oct 22, 2021 | 17 y | 2 |
| G•••••• T••• E••••• | Madison, Wi | Mar 17, 2026 | 19 y | 1 |
| S•••••• E• C••••• | Madison, Wi | Aug 6, 2026 | 10 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- S•••••• E• C••••• from A••••••••• F•••••••• S•••••••• L••Aug 6, 2026 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E•••••• G••••••• T••• · Chief Investment Officercontrolsince 01/2026 · owns 75% or more
- P••••••••• D••••• M•••••• · Chief Executive Officercontrolsince 01/2026 · owns less than 5%
- D••••••••• M•••• J••••• · Chief Compliance Officersince 01/2026 · owns less than 5%
Entity owners
- G••••••••• F•••••••• G•••• I••• · Ownerdirect · 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 |
|---|---|---|---|---|---|
| Madison, Wi · principal | 4 | 4 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · to unsetAug 14, 2026 to Sep 9, 2026
- Succession · false to unsetAug 14, 2026 to Sep 9, 2026
- Accounts · 0 to 1,747Mar 17, 2026 to Aug 14, 2026
- Advisory employees · 1 to 3Mar 17, 2026 to Aug 14, 2026
- BD registered reps · 2 to 5Mar 17, 2026 to Aug 14, 2026
- Individual clients · unset to 1058.0Mar 17, 2026 to Aug 14, 2026
- Employees · 3 to 5Mar 17, 2026 to Aug 14, 2026
- Insurance-licensed employees · 1 to 4Mar 17, 2026 to Aug 14, 2026
- State-registered IARs · 1 to 4Mar 17, 2026 to Aug 14, 2026
- Other offices · 0 to 4Mar 17, 2026 to Aug 14, 2026
- Discretionary RAUM · $0 to $138MMar 17, 2026 to Aug 14, 2026
- Individual RAUM · unset to 138350338.0Mar 17, 2026 to Aug 14, 2026
- RAUM · $0 to $138MMar 17, 2026 to Aug 14, 2026
- Wrap assets (manager) · unset to 138350338.0Mar 17, 2026 to Aug 14, 2026
- Wrap assets (sponsor) · unset to 0.0Mar 17, 2026 to Aug 14, 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
- 608-897-9265reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 608-938-2620reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- c•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 608-897-9265reportedpublic record, Form ADV, Sep 9, 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
- $34.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026