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.
Firms
SEC-registered investment advisers
One row per CRD, from the adviser’s latest Form ADV. The class is a rule over Item 5.D (where the RAUM sits) and Item 7.A (related broker-dealer or bank); the wirehouses and national broker-dealers are a short curated list. Advisors is the count of representatives IAPD registers through the firm today, which is not the same as the firm’s own Item 5.B answer.
| Firm | HQ | Class | RAUM | Private clients | Advisors | RAUM / advisor | Offices | Private funds |
|---|---|---|---|---|---|---|---|---|
| Robert W. Baird & Co. Incorporated CRD 8158 | Milwaukee, WI | mixed wealth | $394B | 43% | 2,612 | $151M | 209 | 0 |
| Northwestern Mutual Investment Management Company, LLC CRD 307865 | Milwaukee, WI | institutional | $323B | 0.0% | 0 | n/a | 1 | 25 |
| Artisan Partners Limited Partnership CRD 150114 | Milwaukee, WI | asset manager | $184B | 0.0% | 0 | n/a | 16 | 10 |
| T•••• I••••••••• L•• CRD 164201 | Milwaukee, WI | asset manager | $46B | 0.0% | 0 | n/a | 4 | 0 |
| T••••••• I••••••••• M••••••••• CRD 105960 | Madison, WI | institutional | $39B | 0.0% | 21 | $1.9B | 1 | 0 |
| M•••• S••••• A•••••••• L•• CRD 114085 | Milwaukee, WI | asset manager | $39B | 0.0% | 0 | n/a | 0 | 0 |
| N••••••• I••••••••• S••••••• O• A••••••• L•• CRD 307169 | Milwaukee, WI | institutional | $16B | 0.2% | 13 | $1.3B | 1 | 12 |
| M•••••• I••••••••• A•••••••• L•• CRD 110297 | M••••••, WI | mixed wealth | $14B | 46% | 20 | $692M | 1 | 0 |
| F•••••••• M••••••••• I••• CRD 109149 | Milwaukee, WI | other | $11B | 16% | 0 | n/a | 0 | 0 |
| H••• C•••••• A•••••••• L•• CRD 143848 | Rhinelander, WI | other | $11B | 20% | 24 | $471M | 4 | 0 |
| J•••••• W••••• I••• CRD 125557 | Milwaukee, WI | mixed wealth | $10B | 38% | 72 | $144M | 7 | 0 |
| H•••••• I••••••••• I••• CRD 19258 | Madison, WI | independent RIA | $9.6B | 96% | 247 | $38.9M | 137 | 0 |
| O•••• W••••• M••••••••• L•• CRD 168219 | Altoona, WI | independent RIA | $9.5B | 74% | 31 | $308M | 2 | 0 |
| A•••• W••••• M••••••••• L•• CRD 127987 | Brookfield, WI | independent RIA | $8.1B | 93% | 98 | $82.1M | 8 | 0 |
| P•••••••• T•••• C•••••• CRD 110118 | Waukesha, WI | independent RIA | $6.9B | 85% | 5 | $1.4B | 0 | 0 |
| N••••••• C• I•• CRD 108347 | Milwaukee, WI | asset manager | $6.1B | 0.1% | 1 | $6.1B | 0 | 0 |
| D••• I••••••••• A••••••• I•• CRD 105879 | Waukesha, WI | mixed wealth | $6.1B | 37% | 26 | $234M | 1 | 0 |
| G••••• C•••••• M••••••••• L•• CRD 105432 | Milwaukee, WI | other | $5.6B | 8.2% | 3 | $1.9B | 0 | 0 |
| B•••• T•••• W••••• M••••••••• L•• CRD 167811 | Madison, WI | mixed wealth | $5.2B | 25% | 26 | $200M | 8 | 0 |
| M•••••• A•••• M••••••••• CRD 130874 | M••••••, WI | asset manager | $4.9B | 0.0% | 1 | $4.9B | 1 | 0 |
| N•••••• W••••• M••••••••• CRD 283940 | Green Bay, WI | independent RIA | $4.3B | 65% | 46 | $93.3M | 13 | 0 |
| N•••• S••• A•••• M••••••••• I•• CRD 106489 | Neenah, WI | independent RIA | $3.4B | 92% | 13 | $258M | 0 | 0 |
| T••••••• I••••••••• M••••••••• I••• CRD 129609 | Madison, WI | mixed wealth | $3.1B | 25% | 6 | $514M | 0 | 0 |
| R••••••• C•••••• A•••••••• L•• CRD 298451 | Madison, WI | independent RIA | $3.0B | 97% | 13 | $227M | 1 | 0 |
| K•••••• A•••• M••••••••• L•• CRD 150031 | Green Bay, WI | other | $2.9B | 0.0% | 8 | $357M | 4 | 0 |
| R••••••• P•••••••• L•• CRD 106432 | Mequon, WI | other | $2.5B | 5.4% | 6 | $412M | 0 | 0 |
| G•••••• W••••• P•••••••• L•• CRD 322789 | Appleton, WI | independent RIA | $2.3B | 98% | 101 | $22.6M | 25 | 0 |
| 1••• I••••••••• A••••••• C•• CRD 105435 | Milwaukee, WI | mixed wealth | $2.2B | 46% | 17 | $129M | 10 | 0 |
| E••••••••• I••••••••• G•••• CRD 173851 | Waukesha, WI | independent RIA | $2.1B | 100% | 20 | $103M | 2 | 0 |
| O•••••• A••••••• L•• CRD 287465 | Milwaukee, WI | independent RIA | $2.0B | 76% | 15 | $136M | 0 | 0 |
| H••••• R••••• A•••••••• L•• CRD 165693 | Milwaukee, WI | asset manager | $2.0B | 0.0% | 0 | n/a | 1 | 5 |
| L•••••• • C•••••• CRD 47487 | Milwaukee, WI | independent RIA | $1.9B | 99% | 20 | $96.3M | 0 | 0 |
| H•••••••• A•••••••• I••• CRD 29433 | Milwaukee, WI | asset manager | $1.9B | 9.8% | 14 | $137M | 0 | 0 |
| K••• A•••••••• I••• CRD 107847 | Milwaukee, WI | independent RIA | $1.9B | 95% | 5 | $375M | 0 | 0 |
| I•• W••••• P•••••••• L•• CRD 109721 | Waukesha, WI | independent RIA | $1.9B | 99% | 16 | $117M | 3 | 0 |
| D••••••••• M••••••••• I•• CRD 106680 | Milwaukee, WI | independent RIA | $1.9B | 94% | 6 | $311M | 1 | 0 |
| S•••••• B••• • W••• I••••••••• C•••••• I•• CRD 107630 | Neenah, WI | independent RIA | $1.8B | 97% | 11 | $160M | 0 | 0 |
| N••••• A••••••• S•••••••• L•• CRD 290405 | De Pere, WI | independent RIA | $1.6B | 100% | 15 | $107M | 4 | 0 |
| C••••••• N••••• A•••• M••••••••• I•• CRD 107003 | Milwaukee, WI | independent RIA | $1.4B | 75% | 4 | $361M | 0 | 0 |
| I•••••• P•••••••• L•• CRD 171279 | Madison, WI | independent RIA | $1.4B | 89% | 9 | $160M | 0 | 0 |
| S••••• I••••••••• M••••••••• L••••• CRD 105176 | Stevens Point, WI | other | $1.4B | 0.0% | 0 | n/a | 0 | 0 |
| M•••• W••••• I••• CRD 173069 | Milwaukee, WI | asset manager | $1.4B | 0.0% | 0 | n/a | 0 | 4 |
| P••••••••• B•••••••• S•••••••• I••• CRD 37031 | Green Bay, WI | independent RIA | $1.4B | 99% | 176 | $7.7M | 133 | 0 |
| T•• M•••••••• C•••••• CRD 123452 | Thiensville, WI | mixed wealth | $1.3B | 36% | 5 | $269M | 1 | 0 |
| C•••••• I••••••••• S••••••• O• A•••••• I•• CRD 110639 | Milwaukee, WI | independent RIA | $1.3B | 82% | 9 | $146M | 0 | 0 |
| M•••••• P••••••• CRD 305824 | M••••••, WI | independent RIA | $1.3B | 96% | 40 | $32.6M | 26 | 0 |
| A••••••••• I••••••••• S•••••••• I••• CRD 1464 | Green Bay, WI | independent RIA | $1.2B | 100% | 42 | $27.8M | 35 | 0 |
| O•••••• C••••••• I•• CRD 109993 | Milwaukee, WI | independent RIA | $1.2B | 99% | 14 | $83.4M | 1 | 0 |
| K••••••••• W••••• M••••••••• L•• CRD 168787 | Shawano, WI | independent RIA | $1.2B | 51% | 16 | $72.2M | 6 | 0 |
| C••••• W••••• M••••••••• CRD 297717 | Middleton, WI | independent RIA | $1.2B | 99% | 10 | $115M | 3 | 0 |
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195 advisers match.