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 |
|---|---|---|---|---|---|---|---|---|
| Goldstein Advisors, LLC CRD 323125 | Madison, WI | independent RIA | $1.1B | 99% | 12 | $89.9M | 0 | 0 |
| Spectrum Investment Advisors, Inc. CRD 108669 | Mequon, WI | mixed wealth | $1.1B | 46% | 23 | $46.3M | 0 | 0 |
| Form Wealth Advisors, LLC CRD 326519 | Lake Geneva, WI | independent RIA | $1.1B | 94% | 8 | $132M | 1 | 0 |
| W•••••• C••••• F•••••••• A••••••• L•• CRD 160109 | Verona, WI | independent RIA | $1.0B | 99% | 16 | $64.4M | 1 | 0 |
| M•••••• S•••••• W••••• M••••••••• I••• CRD 149830 | Appleton, WI | independent RIA | $1.0B | 97% | 8 | $126M | 2 | 0 |
| M•• W••••• M••••••••• L•• CRD 165516 | Tomah, WI | independent RIA | $977M | 76% | 13 | $75.2M | 7 | 0 |
| R•••••••• M••••••••• G•••• CRD 310363 | Platteville, WI | independent RIA | $914M | 94% | 15 | $60.9M | 4 | 0 |
| B••••••• W••••• M••••••••• CRD 335431 | Altoona, WI | independent RIA | $887M | 95% | 12 | $73.9M | 3 | 0 |
| M•••••••• I••••••••• A•••••••• L•• CRD 168429 | Middleton, WI | independent RIA | $878M | 91% | 7 | $125M | 0 | 0 |
| P••• C•••••• M••••••••• L•• CRD 158965 | Madison, WI | independent RIA | $868M | 57% | 5 | $174M | 0 | 0 |
| P•• I••••••••• M••••••••• CRD 104701 | Cedarburg, WI | independent RIA | $852M | 95% | 7 | $122M | 0 | 0 |
| A••••••• M••••••••• G•••• I•• CRD 113020 | La Crosse, WI | independent RIA | $820M | 100% | 12 | $68.3M | 2 | 0 |
| C•••••• I••••••••• L•• CRD 145329 | Waukesha, WI | asset manager | $807M | 0.2% | 1 | $807M | 0 | 0 |
| C••••• H••••• I••••••••• A•••••••• L•• CRD 169978 | Appleton, WI | independent RIA | $805M | 93% | 6 | $134M | 1 | 0 |
| G••••• V••• C•••••• M••••••••• L•• CRD 158292 | Waukesha, WI | independent RIA | $775M | 99% | 103 | $7.5M | 5 | 0 |
| S••••••• C••••••• L•• CRD 131183 | Milwaukee, WI | asset manager | $747M | 4.9% | 1 | $747M | 0 | 4 |
| B•••• C•••••• M••••••••• C••••••• L•• CRD 323309 | Milwaukee, WI | asset manager | $738M | 0.0% | 0 | n/a | 1 | 0 |
| A•••• I••••••••• C••••••••• G••••• L•• CRD 139721 | Milwaukee, WI | institutional | $714M | 1.7% | 3 | $238M | 0 | 0 |
| B•••••••• F•••••••• M••••••••• L•• CRD 143550 | Wauwatosa, WI | independent RIA | $699M | 100% | 6 | $117M | 0 | 0 |
| M••••••• I••••••••• P•••••••• L•• CRD 108479 | Milwaukee, WI | independent RIA | $684M | 91% | 7 | $97.7M | 0 | 0 |
| L•••••• F•••••••• G••••• L•• CRD 310258 | Hudson, WI | independent RIA | $677M | 99% | 6 | $113M | 1 | 0 |
| J••••••• • S•••••• A•••••••• L•• CRD 140431 | Middleton, WI | independent RIA | $676M | 88% | 12 | $56.4M | 2 | 0 |
| R••••••••• P••••••• L•• CRD 283540 | Milwaukee, WI | independent RIA | $661M | 73% | 6 | $110M | 0 | 0 |
| B•• W••••• M••••••••• CRD 323928 | Brookfield, WI | independent RIA | $652M | 95% | 6 | $109M | 1 | 0 |
| M•••••• P••••••••• P•••••••• L••• CRD 112995 | Wausau, WI | independent RIA | $649M | 96% | 17 | $38.2M | 3 | 0 |
| S••••••••• W••••• M••••••••• L•• CRD 111950 | Pewaukee, WI | independent RIA | $642M | 100% | 6 | $107M | 0 | 0 |
| E•••••••• W••••• M••••••••• I••• CRD 108652 | Appleton, WI | independent RIA | $609M | 83% | 13 | $46.9M | 6 | 11 |
| D•••• • A••••••••• L•• CRD 154854 | Waukesha, WI | independent RIA | $607M | 100% | 16 | $38.0M | 1 | 0 |
| A•••• W••••• M••••••••• L•• CRD 298165 | Appleton, WI | independent RIA | $603M | 97% | 9 | $67.0M | 0 | 0 |
| P••••••• C•••••• M••••••••• I••• CRD 131668 | Madison, WI | independent RIA | $591M | 96% | 6 | $98.5M | 1 | 0 |
| R••••••••• C•••••• M••••••••• L•• CRD 130985 | Menomonee Falls, WI | independent RIA | $582M | 100% | 7 | $83.2M | 1 | 0 |
| W•••• F•••••••• CRD 110194 | Appleton, WI | independent RIA | $580M | 98% | 7 | $82.9M | 1 | 0 |
| F••••••••• • C• I•• CRD 105150 | Milwaukee, WI | independent RIA | $565M | 91% | 1 | $565M | 0 | 0 |
| E••••• F•••••••• P••••••• L•• CRD 111234 | Madison, WI | independent RIA | $557M | 100% | 4 | $139M | 0 | 0 |
| A••••••••• F•••••••• A••••••• I•• CRD 108154 | Milwaukee, WI | independent RIA | $541M | 100% | 3 | $180M | 0 | 0 |
| B•••• W••••• M••••••••• L•• CRD 170627 | Wausau, WI | independent RIA | $539M | 100% | 8 | $67.3M | 1 | 0 |
| U••••••• C•••• I•••••••• CRD 290105 | Janesville, WI | independent RIA | $520M | 99% | 4 | $130M | 0 | 0 |
| W•• F•••••••• A•••••••• I••• CRD 144919 | Madison, WI | other | $508M | 13% | 3 | $169M | 0 | 0 |
| G•••••• A•••••••• I••• CRD 13985 | Middleton, WI | independent RIA | $501M | 100% | 4 | $125M | 0 | 0 |
| T•• M•••••••• G••••• L•• CRD 108931 | Milwaukee, WI | independent RIA | $497M | 99% | 5 | $99.4M | 0 | 0 |
| A••••••• C•••••• M••••••••• L•• CRD 124663 | Milwaukee, WI | independent RIA | $470M | 88% | 7 | $67.1M | 0 | 0 |
| J••• F• S••• W••••• M••••••••• L•• CRD 150824 | Madison, WI | independent RIA | $465M | 89% | 3 | $155M | 1 | 0 |
| C•••••• C•••••• M••••••••• I•• CRD 35919 | Brookfield, WI | independent RIA | $462M | 100% | 4 | $116M | 0 | 0 |
| R••••••• I••••••••• S••••••• L•• CRD 327451 | Mequon, WI | independent RIA | $453M | 98% | 14 | $32.4M | 1 | 0 |
| B•••••••• C•••••• P•••••••• L•• CRD 158020 | Thiensville, WI | independent RIA | $452M | 88% | 10 | $45.2M | 1 | 0 |
| G••••• P•••••••• L•• CRD 130768 | Lake Geneva, WI | independent RIA | $424M | 97% | 9 | $47.1M | 1 | 0 |
| K•• W••••• M••••••••• G••••• L•• CRD 142682 | Appleton, WI | independent RIA | $408M | 100% | 6 | $68.0M | 0 | 0 |
| E•••• I••• CRD 301432 | Madison, WI | institutional | $396M | 2.4% | 5 | $79.1M | 7 | 0 |
| A••••• A••••••• CRD 284036 | Madison, WI | independent RIA | $393M | 87% | 7 | $56.1M | 0 | 0 |
| E••••• W•••••• L•• CRD 323788 | Stevens Point, WI | independent RIA | $386M | 100% | 8 | $48.3M | 7 | 0 |
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195 advisers match.