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 |
|---|---|---|---|---|---|---|---|---|
| T. Anton Investment House, Inc. CRD 174970 | Madison, WI | independent RIA | $367M | 100% | 3 | $122M | 0 | 0 |
| Black Maple Capital Management LP CRD 168385 | Milwaukee, WI | mixed wealth | $353M | 44% | 0 | n/a | 1 | 3 |
| Envision Financial LLC CRD 314365 | Brookfield, WI | independent RIA | $353M | 99% | 4 | $88.2M | 0 | 0 |
| F••••••• P••••••• G•••• CRD 157900 | Pewaukee, WI | independent RIA | $345M | 100% | 5 | $69.1M | 1 | 0 |
| V••••••• L•• CRD 142926 | Hobart, WI | independent RIA | $337M | 99% | 4 | $84.2M | 1 | 0 |
| U•••••• I••••••••• C••••••• I••• CRD 154718 | Milwaukee, WI | independent RIA | $330M | 70% | 3 | $110M | 5 | 0 |
| S••••••• A••••••• G••••• L•• CRD 338121 | Middleton, WI | independent RIA | $321M | 100% | 7 | $45.8M | 0 | 0 |
| 4••• I••••••••• P••••••••• CRD 282495 | Waunakee, WI | institutional | $311M | 7.4% | 4 | $77.8M | 1 | 0 |
| H• C• D•••••• C•• CRD 1628 | Sheboygan, WI | independent RIA | $310M | 100% | 4 | $77.5M | 0 | 0 |
| S••••••• C•••••• M••••••••• I•• CRD 106822 | Brookfield, WI | independent RIA | $297M | 77% | 2 | $148M | 0 | 0 |
| W•••••••• C•••••• M••••••••• L•• CRD 110394 | Madison, WI | independent RIA | $294M | 52% | 2 | $147M | 0 | 0 |
| S•••• M•••• A•••• M••••••••• L•• CRD 282632 | Sister Bay, WI | independent RIA | $292M | 94% | 3 | $97.2M | 1 | 1 |
| B•••• C•••••• CRD 130919 | Brookfield, WI | independent RIA | $283M | 99% | 4 | $70.8M | 0 | 0 |
| M•••• F•••••••• G••••• I••• CRD 337398 | Green Bay, WI | independent RIA | $278M | 99% | 4 | $69.4M | 0 | 0 |
| W•••••• P••••••• L•• CRD 333435 | Madison, WI | independent RIA | $277M | 100% | 3 | $92.2M | 0 | 0 |
| C•• P•••••• W••••• M••••••••• CRD 281520 | West Bend, WI | independent RIA | $276M | 100% | 2 | $138M | 0 | 0 |
| C•••••• C•••••• P•••••••• L•• CRD 313497 | Delafield, WI | independent RIA | $275M | 98% | 2 | $137M | 0 | 0 |
| 1••• C•••••• M••••••••• L•• CRD 148566 | Milwaukee, WI | independent RIA | $275M | 57% | 3 | $91.5M | 0 | 0 |
| C••••• F•••• I••••••••• M••••••••• L•• CRD 282600 | West Bend, WI | mixed wealth | $272M | 36% | 8 | $34.0M | 1 | 0 |
| M•••••• F•••••••• G••••• L•• CRD 136294 | Madison, WI | independent RIA | $254M | 97% | 5 | $50.8M | 0 | 0 |
| T•••••••• A•••••• G••••• L•• CRD 311746 | Milwaukee, WI | independent RIA | $253M | 100% | 5 | $50.6M | 2 | 0 |
| M••••• D•••••• C•••••• M••••••••• L•• CRD 106288 | Milwaukee, WI | independent RIA | $252M | 85% | 3 | $84.1M | 0 | 0 |
| B•••• V•••••• P••••••• M••••••••• C•••••• I•• L•• CRD 168956 | Milwaukee, WI | asset manager | $252M | 0.0% | 0 | n/a | 1 | 0 |
| W••••••• W••••• S••••••••• I••• CRD 175126 | Oshkosh, WI | independent RIA | $251M | 81% | 2 | $126M | 0 | 0 |
| B•••••• A• D• I••••••••• C•••••• I•• CRD 106946 | Mequon, WI | independent RIA | $250M | 94% | 2 | $125M | 1 | 0 |
| T•• K••••••••• G•••• CRD 331128 | Mequon, WI | independent RIA | $241M | 100% | 2 | $120M | 0 | 0 |
| S••••••••• G•••••• • U•••••••• W••••• M••••••••• L•• CRD 319298 | La Crosse, WI | independent RIA | $236M | 97% | 5 | $47.3M | 3 | 0 |
| R••••• S••••••• I•• CRD 110277 | Brookfield, WI | independent RIA | $227M | 100% | 3 | $75.8M | 0 | 0 |
| R••••••••• W••••• S•••••••• L•• CRD 317253 | Marshfield, WI | independent RIA | $227M | 100% | 3 | $75.7M | 0 | 0 |
| D••••• W••••• M••••••••• I••• CRD 153323 | Mequon, WI | independent RIA | $226M | 92% | 4 | $56.5M | 0 | 0 |
| G••••• V•••• I••••••••• C••••••••• CRD 144260 | Milwaukee, WI | independent RIA | $226M | 86% | 4 | $56.4M | 5 | 1 |
| C••••••••• F•••••••• G•••• CRD 324255 | Appleton, WI | independent RIA | $220M | 100% | 5 | $44.0M | 2 | 0 |
| F•••••••• S•••••• G•••• I•• CRD 107893 | Mount Pleasant, WI | independent RIA | $215M | 100% | 4 | $53.7M | 0 | 0 |
| K•• F••••••••• I••• CRD 127473 | Green Bay, WI | independent RIA | $202M | 100% | 38 | $5.3M | 17 | 0 |
| C••••••••• W••••• CRD 318985 | Madison, WI | independent RIA | $201M | 100% | 4 | $50.2M | 3 | 0 |
| P•••••• P••••••• CRD 132024 | Hartland, WI | independent RIA | $199M | 100% | 2 | $99.3M | 0 | 0 |
| E•••••• A•••• M••••••••• L•• CRD 282711 | Brookfield, WI | independent RIA | $198M | 91% | 5 | $39.6M | 0 | 0 |
| B•••••••• F•••••••• S••••••••• L•• CRD 165048 | Hartland, WI | independent RIA | $198M | 100% | 3 | $65.9M | 0 | 0 |
| B•••• V•••••• P••••••• M••••••••• C•••••• V• L•• CRD 298155 | Milwaukee, WI | asset manager | $195M | 0.0% | 0 | n/a | 1 | 0 |
| L•••••• F•••••••• G••••• I••• CRD 111272 | Elm Grove, WI | independent RIA | $194M | 100% | 2 | $97.2M | 0 | 0 |
| C••••••••• F•••••••• A•••••••• L•• CRD 167513 | Appleton, WI | independent RIA | $190M | 87% | 1 | $190M | 0 | 0 |
| G•••••• F•••••••• G•••• CRD 168675 | Brookfield, WI | independent RIA | $186M | 97% | 2 | $93.1M | 0 | 0 |
| H••• P•••••• W••••• CRD 301001 | Wausau, WI | independent RIA | $177M | 67% | 3 | $59.2M | 0 | 0 |
| C••••• C•••••• M••••••••• L•• CRD 152325 | Appleton, WI | independent RIA | $176M | 94% | 4 | $44.1M | 2 | 0 |
| F•••••••• F•••••••• P••••••• N•••••• CRD 313361 | Onalaska, WI | independent RIA | $176M | 100% | 7 | $25.1M | 1 | 0 |
| N••••••••• A•••• M••••••••• L•• CRD 125179 | Mcfarland, WI | independent RIA | $174M | 100% | 3 | $57.8M | 0 | 0 |
| S••••••••• W••••• • T•• S•••••••• CRD 332731 | Appleton, WI | independent RIA | $168M | 100% | 3 | $56.1M | 0 | 0 |
| M••••••• M••••• L•• CRD 145571 | Eau-Claire, WI | independent RIA | $164M | 100% | 2 | $81.9M | 2 | 0 |
| E•••• W••••• M••••••••• I••• CRD 333159 | Plover, WI | independent RIA | $161M | 100% | 4 | $40.4M | 1 | 0 |
| S••••••• I••••••••• C••••••••• S•••••••• L•• CRD 125081 | Madison, WI | independent RIA | $160M | 60% | 2 | $79.8M | 0 | 0 |
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195 advisers match.