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•••••• C•••••• M••••••••• I••
Legal name C•••••• C•••••• M••••••••• L••
Latest filing Mar 19, 2026
First filing on the tape Mar 22, 2012 · 20 filings
SEC status approved since May 1, 1981
RAUM
$462M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$462M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$116M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$462M as of Mar 19, 2026
Jul 20, 2012$93.2M then
HNW client RAUM$365M as of Mar 19, 2026
Mar 8, 2018$112M then
State-registered IARs (5.B.3)4 as of Mar 19, 2026
Jul 26, 20133 then
Employees (5.A)5 as of Mar 19, 2026
Jul 26, 20133 then
Private funds: no history
RAUM +12% over the last fiscal year+18% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 19, 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
- RAUM per advisor
- $116MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 91derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $389,044derivedRAUM 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
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.6%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$365M79%
- Individuals$97.2M21%
- Individual clients
- 223reported
- HNW clients
- 139reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,188reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- 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=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• T• H••••••Chartered Financial Analyst | Brookfield, Wi | Sep 11, 2000 | 33 y | 0 |
| D••••• R•••••• G•••••Certified Financial Planner | Brookfield, Wi | May 21, 2004 | 36 y | 1 |
| A•••••••• M•••• C••• | Brookfield, Wi | Aug 26, 2016 | 10 y | 0 |
| S••••• P•••• V••••••• | Brookfield, Wi | Aug 31, 2018 | 12 y | 0 |
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
- B••••••• L••• F•••••• to B•••••••• F•••••••• S••••••••• L••Jun 9, 2023 · RIA to RIA
Joined, latest
- B••••••• L••• F•••••• from L•••••• F•••••••• G••••• I•••Jan 24, 2020 · Other
- D••••• R•••••• G••••• from I••••••••• I••••••••• A•••••••• I•••May 21, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• D•••••• R•••••• · Vice President, Shareholdercontrolsince 01/2012 · owns 25% to 50%
- H••••••• J•••• T• · Chief Compliance Officer, President, Shareholdercontrolsince 12/2004 · owns 25% to 50%
- C•••• A••••••••• M•••• · Advisor, Shareholdersince 01/2022 · owns 5% to 10%
- V•••••••• S•••••• P•••• · Advisor, Shareholdersince 01/2022 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Brookfield, Wi · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Mar 19, 2026accounts (Item 5.F.2.f) moved from 377.0 to 1,188.0 (+215.0%) between the annual amendments of 2025-04-28 and 2026-03-19; the peer median change was +5.0% (3686 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,686) · 99% percentile
- custody status changedChange between filings · filing Mar 19, 2026custody of client assets (Item 9.A): yes on the filing of 2025-04-28, no on the filing of 2026-03-19peers: independent wealth managers, $100M to $500M (5,678)
- HNW share shiftChange between filings · filing Mar 19, 2026HNW share of RAUM moved from 34.0% to 79.0% between the annual amendments of 2025-04-28 and 2026-03-19peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 377 to 1,188Apr 28, 2025 to Mar 19, 2026
- HNW clients · 26 to 139Apr 28, 2025 to Mar 19, 2026
- Individual clients · 342 to 223Apr 28, 2025 to Mar 19, 2026
- Assets in custody · $4.1M to $0Apr 28, 2025 to Mar 19, 2026
- Custody of client assets · true to falseApr 28, 2025 to Mar 19, 2026
- Employees · 4 to 5Apr 28, 2025 to Mar 19, 2026
- Discretionary RAUM · $400M to $462MApr 28, 2025 to Mar 19, 2026
- HNW RAUM · $138M to $365MApr 28, 2025 to Mar 19, 2026
- Individual RAUM · $274M to $97.2MApr 28, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $12.0M to $0Apr 28, 2025 to Mar 19, 2026
- RAUM · $412M to $462MApr 28, 2025 to Mar 19, 2026
- Accounts · 375 to 377Feb 20, 2025 to Apr 28, 2025
- Individual clients · 340 to 342Feb 20, 2025 to Apr 28, 2025
- Assets in custody · $4.5M to $4.1MFeb 20, 2025 to Apr 28, 2025
- Financial planning clients · 251-500 to 251-500Feb 20, 2025 to Apr 28, 2025
- Legal name · C•••••• C•••••• M••••••••• I••. to C•••••• C•••••• M••••••••• L••Feb 20, 2025 to Apr 28, 2025
- Organization form · Corporation to Limited Liability CompanyFeb 20, 2025 to Apr 28, 2025
- Discretionary RAUM · $394M to $400MFeb 20, 2025 to Apr 28, 2025
- HNW RAUM · $135M to $138MFeb 20, 2025 to Apr 28, 2025
- Individual RAUM · $271M to $274MFeb 20, 2025 to Apr 28, 2025
- Non-discretionary RAUM · $12.0M to $12.0MFeb 20, 2025 to Apr 28, 2025
- RAUM · $406M to $412MFeb 20, 2025 to Apr 28, 2025
- Related adviser · false to trueFeb 20, 2025 to Apr 28, 2025
- Related broker-dealer · false to trueFeb 20, 2025 to Apr 28, 2025
- Accounts · 368 to 375Mar 26, 2024 to Feb 20, 2025
- Advisory employees · 5 to 4Mar 26, 2024 to Feb 20, 2025
- HNW clients · 24 to 26Mar 26, 2024 to Feb 20, 2025
- Individual clients · 332 to 340Mar 26, 2024 to Feb 20, 2025
- Assets in custody · $4.0M to $4.5MMar 26, 2024 to Feb 20, 2025
- Employees · 5 to 4Mar 26, 2024 to Feb 20, 2025
- State-registered IARs · 5 to 4Mar 26, 2024 to Feb 20, 2025
- Discretionary RAUM · $343M to $394MMar 26, 2024 to Feb 20, 2025
- HNW RAUM · $121M to $135MMar 26, 2024 to Feb 20, 2025
- Individual RAUM · $235M to $271MMar 26, 2024 to Feb 20, 2025
- Non-discretionary RAUM · $13.1M to $12.0MMar 26, 2024 to Feb 20, 2025
- RAUM · $356M to $406MMar 26, 2024 to Feb 20, 2025
- Accounts · 362 to 368Mar 28, 2023 to Mar 26, 2024
- HNW clients · 17 to 24Mar 28, 2023 to Mar 26, 2024
- Individual clients · 334 to 332Mar 28, 2023 to Mar 26, 2024
- Discretionary RAUM · $280M to $343MMar 28, 2023 to Mar 26, 2024
Signals
1 dated events
- B••••••• L••• F•••••• left C•••••• C•••••• M••••••••• I•• for B•••••••• F•••••••• S••••••••• L•• (registered 2023-06-27)Jun 9, 2023 · Advisor changed firm · 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
- 414-257-3700reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 414-257-0917reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/10165697reportedpublic record, Form ADV, Sep 19, 2026
- Website
- C••••••CAPITAL.NETreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 414-257-3700reportedpublic record, Form ADV, Mar 19, 2026
- Contact form
- c•••••••••.netreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- c•••••••••.netreportedpublished by the firm, firm site, Sep 15, 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
- $116Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026