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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

C••••• G••• I•••

Former SEC-registered adviserMilwaukee, WisconsinCRD 45309SEC 801-55574IAPD
Latest filing Mar 30, 2016
First filing on the tape Mar 29, 2012 · 9 filings
RAUM
$1.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
49
13 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$1.0B as of Mar 30, 2016
Mar 29, 2012$841M then
HNW client RAUM: no history
State-registered IARs (5.B.3)13 as of Mar 30, 2016
Mar 26, 201312 then
Employees (5.A)49 as of Mar 30, 2016
Mar 26, 201351 then
Private funds: no history
RAUM -1.5% over the last fiscal year+4.1% a year over threeIARs 12 to 13
Practice profile
derived from the filing of Mar 30, 2016; every figure names its basis
RAUM per advisor
$77.0MderivedRAUM 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
$1.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.8derivedItem 5.A over advisors
Advisors per office
13.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-1.5%derivedbetween the last two annual amendments
Advisor growth, one year
+8.3%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Custody
$1.0B, 620 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
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
620reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$1.0B for 620 clientsreported
Compensation
% of AUM, fixed, commissionsreported
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
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • C•••••• M•••••• J••••• · Chairman Of The Board And Ceocontrol
      since 03/2002 · owns less than 5%
    • M•••••• R••••• D•••• · Managing Director - Investment Banking And Directorcontrol
      since 03/2002 · owns less than 5%
    • P•••••••• J••• R••••• · Managing Director - Investment Banking, Secretary, Treasurer And Directorcontrol
      since 03/2002 · owns less than 5%
    • W•••••• R••••• L••••• · Executive Vice President And Directorcontrol
      since 03/2002 · owns less than 5%
    • C•••••• M•••••• J••••• · Indirectcontrol
      since 03/2002 · owns 25% to 50% of C••••• G••• H••••••• I•••
    • B••••• W•••••• H••• · Cfo, Chief Compliance Officer, Financial And Operations Principal
      since 08/2002 · owns less than 5%
    Entity owners
    • C••••• G••• H••••••• I••• · Direct Owner
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 591 to 620
      Sep 23, 2015 to Mar 30, 2016
    • Advisory employees · 12 to 13
      Sep 23, 2015 to Mar 30, 2016
    • BD registered reps · 31 to 33
      Sep 23, 2015 to Mar 30, 2016
    • Assets in custody · $1.0B to $1.0B
      Sep 23, 2015 to Mar 30, 2016
    • Employees · 48 to 49
      Sep 23, 2015 to Mar 30, 2016
    • Insurance-licensed employees · 0 to 4
      Sep 23, 2015 to Mar 30, 2016
    • State-registered IARs · 12 to 13
      Sep 23, 2015 to Mar 30, 2016
    • Discretionary RAUM · $1.0B to $1.0B
      Sep 23, 2015 to Mar 30, 2016
    • RAUM · $1.0B to $1.0B
      Sep 23, 2015 to Mar 30, 2016
    • Assets in custody · unset to 1015842000.0
      Mar 31, 2015 to Jul 31, 2015
    • Custody of client assets · false to true
      Mar 31, 2015 to Jul 31, 2015
    • Accounts · 573 to 591
      Mar 31, 2014 to Mar 30, 2015
    • Advisory employees · 11 to 12
      Mar 31, 2014 to Mar 30, 2015
    • BD registered reps · 30 to 31
      Mar 31, 2014 to Mar 30, 2015
    • Employees · 44 to 48
      Mar 31, 2014 to Mar 30, 2015
    • State-registered IARs · 11 to 12
      Mar 31, 2014 to Mar 30, 2015
    • Discretionary RAUM · $992M to $1.0B
      Mar 31, 2014 to Mar 30, 2015
    • RAUM · $992M to $1.0B
      Mar 31, 2014 to Mar 30, 2015
    • Accounts · 517 to 573
      Oct 3, 2013 to Mar 31, 2014
    • BD registered reps · 31 to 30
      Oct 3, 2013 to Mar 31, 2014
    • Employees · 51 to 44
      Oct 3, 2013 to Mar 31, 2014
    • State-registered IARs · 12 to 11
      Oct 3, 2013 to Mar 31, 2014
    • Discretionary RAUM · $886M to $992M
      Oct 3, 2013 to Mar 31, 2014
    • RAUM · $886M to $992M
      Oct 3, 2013 to Mar 31, 2014
    • Accounts · 504 to 517
      Mar 29, 2012 to Mar 26, 2013
    • Advisory employees · unset to 11.0
      Mar 29, 2012 to Mar 26, 2013
    • BD registered reps · unset to 31.0
      Mar 29, 2012 to Mar 26, 2013
    • Employees · unset to 51.0
      Mar 29, 2012 to Mar 26, 2013
    • Insurance-licensed employees · 1 to 0
      Mar 29, 2012 to Mar 26, 2013
    • Financial planning clients · 101-250 to 251-500
      Mar 29, 2012 to Mar 26, 2013
    • State-registered IARs · unset to 12.0
      Mar 29, 2012 to Mar 26, 2013
    • Discretionary RAUM · $841M to $886M
      Mar 29, 2012 to Mar 26, 2013
    • RAUM · $841M to $886M
      Mar 29, 2012 to Mar 26, 2013
    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.
    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