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.

SEC-registered adviser

R••••• W• B•••• • C•• I•••••••••

Wealth manager with institutional or fund businessMilwaukee, WisconsinCRD 8158SEC 801-7571website IAPD

Latest filing Sep 1, 2026

First filing on the tape Mar 30, 2012 · 83 filings

SEC status approved since Jul 14, 1971

RAUM

$394B

reported, Item 5.F

Discretionary

73%

of RAUM

Private clients

43%

$168B individuals and HNW

Advisors

2,612

registered through the firm on IAPD

RAUM per advisor

$151M

derived; firm RAUM over IAPD count

Employees

4,322

3,170 advisory (5.B.1)

Offices

209

beyond the principal office

Private funds

reported on Schedule D

History

83 filings and snapshots on the tape

RAUM$394B as of Apr 20, 2026

Mar 30, 2012$40B then

HNW client RAUM$135B as of Apr 20, 2026

Mar 29, 2018$35B then

State-registered IARs (5.B.3)2,509 as of Apr 20, 2026

Mar 28, 20131,295 then

Employees (5.A)4,322 as of Apr 20, 2026

Mar 28, 20132,283 then

Private funds3 as of Apr 20, 2026

Mar 30, 20162 then

RAUM +15% over the last fiscal year+17% a year over threeIARs 2,438 to 2,509offices 206 to 209

Practice profile

derived from the filing of Sep 1, 2026; every figure names its basis

Archetypes, each a printed rule

Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets

RAUM per advisor: $151MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 90derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.6MderivedHNW RAUM over HNW clients
Average account: $1.1MderivedRAUM over accounts (5.F.2.f)
Discretionary: 73%derivedof RAUM
Institutional: 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.7derivedItem 5.A over advisors
Advisors per office: 12.5derived210 offices incl. principal (1.F.5)
RAUM growth, one year: +15%derivedbetween the last two annual amendments
Advisor growth, one year: +2.9%derivedItem 5.B.3 between annual amendments
Client growth, one year: +5.7%derived
Compensation: percentage of assets, hourly, fixed fees, performance-based, commissions, otherreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, pension consulting, selection of other advisers, publications, educational seminars, otherreportedItem 5.G
Financial planning clients: 500reportedItem 5.H
Wrap fee program: $180BreportedItem 5.I
Custody: $213B, 240,134 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)
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)
the adviser acts as qualified custodian (9.D.1)
marketing includes testimonials (5.L.1.c)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Investment companies$158B40%
High-net-worth individuals$135B35%
Individuals$33B8.5%
Corporations and businesses$19B5.0%
Pension and profit-sharing plans$18B4.6%
Insurance companies$8.8B2.2%
State and municipal entities$8.2B2.1%
Charitable organizations$7.7B2.0%
Pooled investment vehicles$1.3B0.3%
Banks and thrifts$492M0.1%
Other investment advisers$480M0.1%

Individual clients: 153,711reported
HNW clients: 82,420reported
Pension plan clients: 1,709reported
Charitable clients: 1,433reported
Accounts: 367,123reported
Financial planning clients: 500reported
Wrap fee programs: $67B sponsored, $88.1M managedreported
Custody of client assets: $213B for 240,134 clientsreported
Compensation: % of AUM, fixed, hourly, performance, commissionsreported
Class basis: private_client_share=0.43 fund_share=0.41 institutional_share=0.11 related_bd=true related_bank=true bd_reps=3426.0derived

Advisors registered through the firm

2,612 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
M•••••• J••• S••••••••	Denver, Co	Jun 27, 1986	40 y	1
E••• C•••••• D•••••••	Milwaukee, Wi	Jun 23, 1988	39 y	0
S•••••• D•••• H•••	Milwaukee, Wi	Jun 23, 1988	38 y	0
P•••••• S••••• L•••••	Milwaukee, Wi	Jun 23, 1988	45 y	0
J••• B••••••• L••••••••	Mequon, Wi	Jun 23, 1988	38 y	0
W•••••• A••••• N•••••	Milwaukee, Wi	Jun 23, 1988	45 y	0
J••• J••••• L••	Peoria, Az	Jun 23, 1988	41 y	0
R••••• L•• L••••••	Mequon, Wi	Jun 23, 1988	42 y	0
T••••• M•••••• L•••	Milwaukee, Wi	Jun 23, 1988	40 y	0
C•••••• F•••••••• S•••••••	Milwaukee, Wi	Jun 23, 1988	39 y	0
P•••••• C•••••• D••••••	Milwaukee, Wi	Jun 23, 1988	39 y	0
T•••••• S•••••• O••••••	Pewaukee, Wi	Dec 11, 1989	41 y	0
S•••• M•••••• S•••••••	Milwaukee, Wi	May 9, 1990	36 y	0
L•• S••••• Z••••••••	Harbert, Mi	Sep 6, 1990	42 y	0
W•••••• M••••• K•••••••	Sturgeon Bay, Wi	Dec 4, 1990	42 y	0
M•••••• J••• P••••••••	Naples, Fl	Sep 24, 1991	35 y	0
E•••••••• A•• K••••••	Fox Valley, Wi	Nov 22, 1991	40 y	0
L•••• H•••• G••••Chartered Financial Analyst	Milwaukee, Wi	Nov 29, 1991	42 y	0
B••••• L••• H•••••••••	Boulder, Co	Dec 12, 1991	37 y	0
A••••• E••••• D•••••	Fox Valley, Wi	Jan 13, 1992	34 y	0
C••••••••• G••••• D•••••	Milwaukee, Wi	Jan 13, 1992	34 y	0
C••• J•• D••••	Sheboygan, Wi	Jul 31, 1992	36 y	0
B•••••• A• N••••••••	Milwaukee, Wi	Sep 21, 1992	40 y	0
J• R•••••• M•••••••••	Mequon, Wi	Oct 30, 1992	34 y	0
K••••••• M••• B••••••	Milwaukee, Wi	Jan 20, 1993	41 y	0
A••••• M•••••• H•••••	Tampa, Fl	Feb 9, 1993	40 y	0
C•••••• C•••••••• G••••••	Menomonee Falls, Wi	Mar 22, 1993	35 y	0
J••••• A•••••• B••••	Waukesha, Wi	Apr 1, 1993	33 y	0
J•••• A•• R•••••	Janesville, Wi	Apr 1, 1993	33 y	0
A•••••• J••••• B••••	Waukesha, Wi	Apr 1, 1993	39 y	0
M•••••• D••••• B•••••	Racine, Wi	Jun 7, 1993	34 y	0
P•••• J••••• A••••	Mequon, Wi	Jun 23, 1993	33 y	0
M••• A••• K••••••	Milwaukee, Wi	Jun 23, 1993	33 y	0
K•••••••• M•••• S••••••••	Racine, Wi	Jul 13, 1993	43 y	0
G••••••• W••••• K•••	Onalaska, Wi	Oct 8, 1993	40 y	0
C•••••• K•••••• W•••••••	Bonita Springs, Fl	Jan 11, 1994	33 y	0
P••• E••• C••••••••	Milwaukee, Wi	Apr 21, 1994	32 y	0
K•• R••••• P•••••	Fox Valley, Wi	May 12, 1994	32 y	0
T•••••• J•••• F•••	Milwaukee, Wi	Jun 9, 1994	33 y	0
S•••••• C• K•••Certified Financial Planner	Milwaukee, Wi	Jul 18, 1994	33 y	0

All 2,612 advisors at R••••• W• B•••• • C•• I•••••••••

Advisor movement

52 left, 69 joined in 12 months

net +17 in 12 months17 left in 90 days17 joined in 90 daysdeparture rate 2.0% of current headcount173 left over 36 months

Left, latest

B•••••• J• K•••••••• to N••••••••• M••••• I••••••••• S•••••••••
Aug 17, 2026 · Other
T•••••• D••• L•••• to P••••• F•••••••• L••
Aug 17, 2026 · RIA to RIA
C•••••• M••••••• K••• to S•••••• N••••••• • C••••••• I•••••••••
Aug 17, 2026 · RIA to affiliated broker-dealer or bank
S•••••• M••• R••• to X••••••• A•••••• P••••••• L••
Aug 17, 2026 · RIA to RIA
T••• M•••••• R••• to X••••••• A•••••• P••••••• L••
Aug 17, 2026 · RIA to RIA
N••••• W•••••• G•••••••• to X••••••• A•••••• P••••••• L••
Aug 17, 2026 · RIA to RIA
T•••• T• O••••••• to X••••••• A•••••• P••••••• L••
Aug 17, 2026 · RIA to RIA
L••• B••••••• to E•••••• A••••••• G••••• L••
Jul 23, 2026 · RIA to affiliated broker-dealer or bank
M••••• B• D•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Jul 23, 2026 · RIA to wirehouse
M•••••• J• P••••••••• to L•••••• I•••••••••
Jul 21, 2026 · RIA to RIA
T•••• C•••••• P••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Jul 3, 2026 · RIA to wirehouse
B••••• K• P••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Jul 3, 2026 · RIA to wirehouse
B•••••• K••• P••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Jul 3, 2026 · RIA to wirehouse
B•••• J•••• K•••• to R•••••• J•••• • A••••••••• I•••
Jun 23, 2026 · RIA to affiliated broker-dealer or bank
K•••••• A•••• B•••••• to R•••••• J•••• • A••••••••• I•••
Jun 23, 2026 · RIA to affiliated broker-dealer or bank

Joined, latest

M••••• R• F••• from M•••• C••••••• A••••••• S••••••
Sep 15, 2026 · Affiliated broker-dealer or bank to independent RIA
K•••• A• D•••••••• from N••••••••• M••••• I••••••••• S•••••••••
Sep 14, 2026 · Other
K••••••• R••• B•••••• from M••••••
Sep 2, 2026 · Affiliated broker-dealer or bank to independent RIA
D•••• A• S•••• B•••• from W•••• F•••• A•••••••
Aug 28, 2026 · Wirehouse to independent RIA
A••••• N• C•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Aug 18, 2026 · Wirehouse to independent RIA
M•••••• L••••••• D••••• from L•• F•••••••• L••
Aug 13, 2026 · Affiliated broker-dealer or bank to independent RIA
M•••••• L••••• P•••••••• from U•• F•••••••• S••••••• I•••
Aug 11, 2026 · Wirehouse to independent RIA
G•••••• B• R•••••• from L•• F•••••••• L••
Jul 23, 2026 · Affiliated broker-dealer or bank to independent RIA
J••• W• M•••••• from S••••••• C•••••• M••••••••• L••
Jul 13, 2026 · Other
N•••• S•••••••• F•••• from R•• C•••••• M••••••• L••
Jul 6, 2026 · Affiliated broker-dealer or bank to independent RIA
L••••• D•• R••••••• from R•• C•••••• M••••••• L••
Jul 6, 2026 · Affiliated broker-dealer or bank to independent RIA
M•••••• J••••• F•••• from R•• C•••••• M••••••• L••
Jul 6, 2026 · Affiliated broker-dealer or bank to independent RIA
B•••••• A••• H•••• from T••••• A••••••• S•••••••• I•••
Jul 6, 2026 · Affiliated broker-dealer or bank to independent RIA
R••• J• G••• from J••• M••••• S••••••••• L••
Jul 2, 2026 · Wirehouse to independent RIA
J••••• B• S••••• from F•••• C••••••
Jul 1, 2026 · RIA to RIA

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

3 left for X••••••• A•••••• P••••••• L••
Aug 17, 2026 · S••••Sdale, Az
3 left for M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Jul 3, 2026 · Quad Cities, Ia
4 left for R•••••• J•••• • A••••••••• I•••
Jun 23, 2026 · Pittsburgh Wexford, Pa
3 left for X••••••• A•••••• P••••••• L••
Apr 28, 2026 · S••••Sdale, Az
2 left for R•••••••• W••••• A•••••••
Apr 17, 2026 · Birmingham, Mi
3 left for R•• C•••••• M••••••• L••
Jan 20, 2026 · Houston, Tx
2 left for X••••••• A•••••• P••••••• L••
Oct 28, 2025 · S••••Sdale, Az
2 left for X••••••• A•••••• P••••••• L••
Aug 25, 2025 · Fort Worth, Tx

3 joined from R•• C•••••• M••••••• L••
Jul 16, 2026 · Fall City, Wa
4 joined from R•• C•••••• M••••••• L••
Jun 24, 2026 · St P•••, Mn
3 joined from G•••••• I••••••••• M•••••••••
May 12, 2026 · Carmel, In
2 joined from E•••••• F•••••••• E••••••
Feb 20, 2026 · Chandler, Az
2 joined from E•••••• F•••••••• E••••••
Jan 27, 2026 · Ashburn, Va
2 joined from W•••• F•••• A•••••••
Feb 25, 2025 · Toledo, Oh
4 joined from J••••• M••••••••• S•••• L••
Jan 23, 2025 · Danvers, Ma
2 joined from W•••• F•••• A•••••••
Jan 21, 2025 · Gilbert, Az

Teams out Teams in

Private funds

3 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
C••••••••• I••••••••• G••••• E••••• Q• F••• L•	Hedge Fund	$524M	4	Oct 21, 2013
C••••••••• G••••• G••••• E••••• Q• F••• L•	Other Private Fund	$1.9M	2	Mar 17, 2015
C••••••••• S••••• F•••• L•• ••••••••• N•• W•••• G••••• E••••• S••••••	Other Private Fund	$1.7M	1	Mar 22, 2019

Owners and control persons

Schedule A and B, latest filing

B••••• S••••• G•••••• · Chairman, President, Chief Executive Officercontrol
since 01/2016 · owns less than 5%
D•••••••• E••• C•••••• · Directorcontrol
since 02/2025 · owns less than 5%
G••••••••• C•••••• L••• · Chief Compliance Officercontrol
since 01/2022 · owns less than 5%
L••••••••• J•• A• · Chief Financial Officercontrol
since 04/2026 · owns less than 5%
L•••••• P•••••• S••••• · Directorcontrol
since 05/2004 · owns less than 5%
M••••••• T••••••• P•••••• · Chief Financial Officer, Directorcontrol
since 03/2015 · owns less than 5%
P•••••• A••••• M•••• · Registered Investment A•••••• Ccocontrol
since 03/2014 · owns less than 5%
S••••••••• M•••••• J••• · Directorcontrol
since 05/2004 · owns less than 5%
S••••••• P••• L•• · General Counsel, Secretarycontrol
since 03/2013 · owns less than 5%
S•••••• M••• E•••• · Directorcontrol
since 05/2004 · owns less than 5%
T•••••• L•••• K• · Chief Operations Officer A•••••• Ccocontrol
since 07/2018 · owns less than 5%

Entity owners

B•••• F•••••••• C••••••••• · Shareholder
direct · owns 75% or more
B•••• F•••••••• G••••• I••• · Shareholder
indirect · owns 75% or more of B•••• F•••••••• C•••••••••

Related persons

Schedule D 7.A

B•••• C•••••• ••••••••• P••• L•••
investment advisern
B•••• C•••••• G••••• F••• M••••••••• I• L•
investment adviserpooled vehicle sponsoryRAUM $322M
B•••• C•••••• G••••• F••• M••••••••• I• L••
investment adviserpooled vehicle sponsoryRAUM $357M
B•••• C•••••• M••••••••• C••••••• L••
investment adviserpooled vehicle sponsoryRAUM $738M
B•••• C•••••• P••••••• E••••• L••••••
investment adviserpooled vehicle sponsorn
B•••• C•••••• P••••••• M••••••••• C•••••• V• L••
investment adviserpooled vehicle sponsoryRAUM $1.5M
B•••• I•••••••• S•••••••• I•••
real estatey
B•••• I••••••••• A••••••• C•• L•••
broker-dealern
B•••• P•••••••• G•••• M••••••••• C•••••• I• L••
investment adviserpooled vehicle sponsoryRAUM $22.4M
B•••• P•••••••• G•••• M••••••••• C•••••• I•• L••
investment adviserpooled vehicle sponsoryRAUM $81.7M
B•••• P•••••••• G•••• M••••••••• C••••••• L••
investment adviserpooled vehicle sponsoryRAUM $83.7M
B•••• P••••••••• L••
investment companyn
B•••• T•••• C••••••
n
B•••• V•••••• P••••••• G• V•• L••
pooled vehicle sponsory
B•••• V•••••• P••••••• M••••••••• C•••••• I••• L••
investment adviserpooled vehicle sponsoryRAUM $1.3M
B•••• V•••••• P••••••• M••••••••• C•••••• I•• L••
investment adviserpooled vehicle sponsoryRAUM $252M
B•••• V•••••• P••••••• M••••••••• C•••••• V• L••
investment adviserpooled vehicle sponsoryRAUM $195M
G•••• I•••••••• L••
investment advisernRAUM $2.3B
R••••••••• I••••••••• G••••• L••
investment advisernRAUM $2.2B
R••••• W• B•••• G•••
broker-dealern
R••••• W• B•••• L••••••
broker-dealerinvestment advisern
S•••••••• A•••• M••••••••• L••
investment adviserbanknRAUM $458M
B•••• S•••••••• LLC
broker-dealerinvestment advisern

Advisers that list R••••• W• B•••• • C•• I••••••••• as a related person

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out
Milwaukee, Wi · principal	458	44	6
Louisville, Ky	159	15	0
Pittsburgh Wexford, Pa	82	5	4	1
Chicago, Il	73	2	0
Seattle, Wa	73	4	0
Denver, Co	72	5	0
Waukesha, Wi	54	5	0
Nashville, Tn	50	6	0
Roseville, Ca	48	2	0
Lexington, Ky	46	4	0
Cleveland, Oh	44	3	0
Towson, Md	44	1	0
Edina, Mn	42	5	0
Grand Rapids, Mi	40	2	0
Mequon, Wi	39	1	1
Evansville, In	39	4	1
Madison West, Wi	38	3	0
S••••Sdale, Az	38	7	10	3
Cincinnati, Oh	36	1	0
Green Bay, Wi	33	2	0

Offices

Schedule D 1.F, the 25 largest

Chicago, IL264 employees
Louisville, KY147 employees
Louisville, KY106 employees
Wexford, PA103 employees
Denver, CO75 employees
Seattle, WA74 employees
Waukesha, WI54 employees
Lexington, KY52 employees
Evansville, IN47 employees
Nashville, TN44 employees
Towson, MD42 employees
S••••Sdale, AZ40 employees
Charlotte, NC37 employees
Grand Rapids, MI36 employees
Cleveland, OH35 employees
Roseville, CA34 employees
Mequon, WI33 employees
Fort Worth, TX32 employees
Lake Oswego, OR31 employees
Dallas, TX31 employees
Green Bay, WI30 employees
Birmingham, MI29 employees
Canonsburg, PA28 employees
Edina, MN26 employees
Houston, TX25 employees

ADV anomalies

4 against comparable advisers; where to look, not conclusions

control person changedChange between filings · filing Sep 1, 2026
D•••••••• E••• C•••••• (DIRECTOR) appeared on Schedule A between the filings of 2022-01-05 and 2026-09-01
peers: independent wealth managers, $20B and over (84)
control person changedChange between filings · filing Sep 1, 2026
L••••••••• J•• A• (CHIEF FINANCIAL OFFICER) appeared on Schedule A between the filings of 2022-01-05 and 2026-09-01
peers: independent wealth managers, $20B and over (84)
control person changedChange between filings · filing Sep 1, 2026
M••••••• T••••••• P•••••• (CHIEF FINANCIAL OFFICER, DIRECTOR) left Schedule A between the filings of 2022-01-05 and 2026-09-01
peers: independent wealth managers, $20B and over (84)
control person changedChange between filings · filing Sep 1, 2026
P•••••• A••••• M•••• (REGISTERED INVESTMENT A•••••• CCO) left Schedule A between the filings of 2022-01-05 and 2026-09-01
peers: independent wealth managers, $20B and over (84)

How anomalies are measured

What changed

consecutive filings, newest first

Financial planning clients · More than 500 to More than 500
Apr 20, 2026 to Sep 1, 2026
Private funds · 3 to unset
Apr 20, 2026 to Sep 1, 2026
Succession · false to unset
Apr 20, 2026 to Sep 1, 2026
Accounts · 350,776 to 367,123
Dec 15, 2025 to Mar 27, 2026
Advisory employees · 3,047 to 3,170
Dec 15, 2025 to Mar 27, 2026
BD registered reps · 3,384 to 3,426
Dec 15, 2025 to Mar 27, 2026
Charity clients · 1,370 to 1,433
Dec 15, 2025 to Mar 27, 2026
Corporate clients · 1,582 to 1,669
Dec 15, 2025 to Mar 27, 2026
HNW clients · 71,039 to 82,420
Dec 15, 2025 to Mar 27, 2026
Individual clients · 152,341 to 153,711
Dec 15, 2025 to Mar 27, 2026
Pension plan clients · 1,718 to 1,709
Dec 15, 2025 to Mar 27, 2026
Pooled vehicle clients · 10 to 8
Dec 15, 2025 to Mar 27, 2026
Assets in custody · $181B to $213B
Dec 15, 2025 to Mar 27, 2026
Employees · 4,175 to 4,322
Dec 15, 2025 to Mar 27, 2026
State-registered IARs · 2,438 to 2,509
Dec 15, 2025 to Mar 27, 2026
Other offices · 206 to 209
Dec 15, 2025 to Mar 27, 2026
Discretionary RAUM · $250B to $289B
Dec 15, 2025 to Mar 27, 2026
HNW RAUM · $115B to $135B
Dec 15, 2025 to Mar 27, 2026
Individual RAUM · $33B to $33B
Dec 15, 2025 to Mar 27, 2026
Non-discretionary RAUM · $92B to $105B
Dec 15, 2025 to Mar 27, 2026
Pension RAUM · $17B to $18B
Dec 15, 2025 to Mar 27, 2026
Pooled vehicle RAUM · $976M to $1.3B
Dec 15, 2025 to Mar 27, 2026
RAUM · $342B to $394B
Dec 15, 2025 to Mar 27, 2026
Wrap assets (manager) · $151M to $88.1M
Dec 15, 2025 to Mar 27, 2026
Wrap assets (sponsor) · $61B to $67B
Dec 15, 2025 to Mar 27, 2026
Accounts · 331,500 to 350,776
Jun 27, 2024 to Mar 28, 2025
Advisory employees · 2,966 to 3,047
Jun 27, 2024 to Mar 28, 2025
BD registered reps · 3,313 to 3,384
Jun 27, 2024 to Mar 28, 2025
Charity clients · 1,333 to 1,370
Jun 27, 2024 to Mar 28, 2025
Corporate clients · 1,565 to 1,582
Jun 27, 2024 to Mar 28, 2025
HNW clients · 60,342 to 71,039
Jun 27, 2024 to Mar 28, 2025
Individual clients · 149,378 to 152,341
Jun 27, 2024 to Mar 28, 2025
Pension plan clients · 1,710 to 1,718
Jun 27, 2024 to Mar 28, 2025
Pooled vehicle clients · 8 to 10
Jun 27, 2024 to Mar 28, 2025
Assets in custody · $153B to $181B
Jun 27, 2024 to Mar 28, 2025
Employees · 4,069 to 4,175
Jun 27, 2024 to Mar 28, 2025
Financial planning clients · More than 500 to More than 500
Jun 27, 2024 to Mar 28, 2025
State-registered IARs · 2,382 to 2,438
Jun 27, 2024 to Mar 28, 2025
Other offices · 179 to 206
Jun 27, 2024 to Mar 28, 2025
Discretionary RAUM · $212B to $250B
Jun 27, 2024 to Mar 28, 2025

Signals

60 dated events

S•••••• R• W••••••• added a TX registration at R••••• W• B•••• • C•• I•••••••••
Sep 18, 2026 · a•••••• state registration added · fact
J•••••• J••••• B•••••• added a FL registration at R••••• W• B•••• • C•• I•••••••••
Sep 16, 2026 · a•••••• state registration added · fact
M••••• R• F••• registered as an investment adviser representative at R••••• W• B•••• • C•• I•••••••••
Sep 15, 2026 · a•••••• registered · fact
Rebekah F Thompson registered as an investment adviser representative at R••••• W• B•••• • C•• I•••••••••
Sep 15, 2026 · a•••••• registered · fact
Bethany M Mergogey Gilbertson registered as an investment adviser representative at R••••• W• B•••• • C•• I•••••••••
Sep 15, 2026 · a•••••• registered · fact
Brandon C•••••• Carter added a FL registration at R••••• W• B•••• • C•• I•••••••••
Sep 14, 2026 · a•••••• state registration added · fact
A••• W•••••• White added a FL registration at R••••• W• B•••• • C•• I•••••••••
Sep 14, 2026 · a•••••• state registration added · fact
K•••• A• D•••••••• registered as an investment adviser representative at R••••• W• B•••• • C•• I•••••••••
Sep 14, 2026 · a•••••• registered · fact
Christopher A••• Hisle added a FL registration at R••••• W• B•••• • C•• I•••••••••
Sep 14, 2026 · a•••••• state registration added · fact
Jamie Lyn Roach added a FL registration at R••••• W• B•••• • C•• I•••••••••
Sep 14, 2026 · a•••••• state registration added · fact
Salvador W Planells added a FL registration at R••••• W• B•••• • C•• I•••••••••
Sep 14, 2026 · a•••••• state registration added · fact
Trenton S•••••• added a FL registration at R••••• W• B•••• • C•• I•••••••••
Sep 14, 2026 · a•••••• state registration added · fact
Sean W Doche added a FL registration at R••••• W• B•••• • C•• I•••••••••
Sep 14, 2026 · a•••••• state registration added · fact
B•••• D Jensen added a FL registration at R••••• W• B•••• • C•• I•••••••••
Sep 14, 2026 · a•••••• state registration added · fact
Aleksei W Fedor added a FL registration at R••••• W• B•••• • C•• I•••••••••
Sep 14, 2026 · a•••••• state registration added · fact
Branson L Terrell added a FL registration at R••••• W• B•••• • C•• I•••••••••
Sep 14, 2026 · a•••••• state registration added · fact
J••••• D Sullivan added a FL registration at R••••• W• B•••• • C•• I•••••••••
Sep 14, 2026 · a•••••• state registration added · fact
Gunnar C Berg added a FL registration at R••••• W• B•••• • C•• I•••••••••
Sep 14, 2026 · a•••••• state registration added · fact
Brigid C Rypien added a FL registration at R••••• W• B•••• • C•• I•••••••••
Sep 14, 2026 · a•••••• state registration added · fact
M•••••• Robert Blazewick added a FL registration at R••••• W• B•••• • C•• I•••••••••
Sep 14, 2026 · a•••••• state registration added · fact
K••••••• L Didra added a FL registration at R••••• W• B•••• • C•• I•••••••••
Sep 14, 2026 · a•••••• state registration added · fact
Kayji J Arai added a FL registration at R••••• W• B•••• • C•• I•••••••••
Sep 14, 2026 · a•••••• state registration added · fact
Heather Hewson Rock added a FL registration at R••••• W• B•••• • C•• I•••••••••
Sep 14, 2026 · a•••••• state registration added · fact
Beau Wofford Burns added a FL registration at R••••• W• B•••• • C•• I•••••••••
Sep 14, 2026 · a•••••• state registration added · fact
W••••• L••••• M••••••• added a FL registration at R••••• W• B•••• • C•• I•••••••••
Sep 14, 2026 · a•••••• state registration added · fact
Angelo Ciliento added a FL registration at R••••• W• B•••• • C•• I•••••••••
Sep 14, 2026 · a•••••• state registration added · fact
S•••• Lewis Ferguson added a FL registration at R••••• W• B•••• • C•• I•••••••••
Sep 14, 2026 · a•••••• state registration added · fact
Daniel Friedrich Goss added a FL registration at R••••• W• B•••• • C•• I•••••••••
Sep 14, 2026 · a•••••• state registration added · fact
J•••athan Lloyd Fitzgibbons added a FL registration at R••••• W• B•••• • C•• I•••••••••
Sep 14, 2026 · a•••••• state registration added · fact
A••• Paul D••••son added a FL registration at R••••• W• B•••• • C•• I•••••••••
Sep 14, 2026 · a•••••• state registration added · fact

Across DFX

shared identifiers only, never a name match

R••••• W• B•••• • C•• I••••••••• · Independent Sponsors
shared crd · intermediary
R••••• W• B•••• • C•• I••••••••• · Private Equity
shared crd · intermediary
R••••• W• B•••• • C•• I••••••••• · Venture Capital
shared crd · org

How to reach

public business contact points only, each with its source

Business phone: 336-631-5800reportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 303-541-1545reportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 310-492-8110reportedpublished by the firm, firm site, Sep 15, 2026
Firm profile: linkedin.com/company/baird-trust-companyreportedpublic record, Form ADV, Sep 19, 2026
Firm profile: linkedin.com/company/baird-capitalreportedpublic record, Form ADV, Sep 19, 2026
Website: rwbaird.comreportedpublic record, Form ADV, Sep 19, 2026
Principal office phone: 414-765-3500reportedpublic record, Form ADV, Sep 1, 2026
Contact form: rwbaird.com/who-we-are/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
Team page: rwbaird.com/corporations-and-institutions/institutional-equireportedpublished 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: Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
RAUM per advisor: $151Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026