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 |
|---|---|---|---|---|---|---|---|---|
| Retirement Income Strategies, LLC CRD 318052 | Evansville, WI | independent RIA | $159M | 100% | 1 | $159M | 3 | 0 |
| Plus Group Wealth Advisors, LLC CRD 300714 | Belgium, WI | independent RIA | $159M | 97% | 4 | $39.7M | 0 | 0 |
| Wisconsin Wealth Advisors, LLC CRD 145946 | Sun Prairie, WI | independent RIA | $158M | 98% | 3 | $52.5M | 1 | 0 |
| T•••••••• W••••• M••••••••• L•• CRD 307752 | Green Bay, WI | independent RIA | $150M | 99% | 2 | $75.1M | 1 | 0 |
| F•••••••• S••••••••• I••• CRD 113097 | Brookfield, WI | independent RIA | $150M | 100% | 4 | $37.5M | 0 | 0 |
| P•••••••• D••••• S•••••••• L•• CRD 131506 | River Falls, WI | independent RIA | $150M | 78% | 5 | $29.9M | 1 | 0 |
| M•••••• W••••• CRD 306943 | Mishicot, WI | independent RIA | $148M | 98% | 2 | $74.1M | 2 | 0 |
| C•• A•••• M••••••••• I••• CRD 284060 | Madison, WI | independent RIA | $147M | 92% | 5 | $29.4M | 0 | 0 |
| M•• F••• M•••••• L•• CRD 335692 | Brookfield, WI | asset manager | $144M | 0.0% | 0 | n/a | 0 | 1 |
| V•••• W••••• M••••••••• CRD 323130 | De Pere, WI | independent RIA | $143M | 100% | 1 | $143M | 0 | 0 |
| C•• W••••• A••••••• L•• CRD 340600 | Madison, WI | independent RIA | $138M | 100% | 4 | $34.6M | 4 | 0 |
| A••••••• I••••••••• A••••••• I•• CRD 104579 | Madison, WI | independent RIA | $138M | 84% | 0 | n/a | 0 | 0 |
| C••••••••• C•••••• S••••••••• I••• CRD 14762 | Fort Atkinson, WI | independent RIA | $137M | 100% | 16 | $8.6M | 10 | 0 |
| C•••••• W••••• M••••••••• L•• CRD 293172 | Madison, WI | independent RIA | $137M | 96% | 1 | $137M | 0 | 0 |
| K••• W••••• M••••••••• G••••• L•• CRD 126740 | Brookfield, WI | independent RIA | $135M | 100% | 1 | $135M | 0 | 0 |
| L•••••• I••••••••• A•••••••• I••• CRD 109303 | Pewaukee, WI | independent RIA | $134M | 100% | 5 | $26.7M | 0 | 0 |
| J••••• W••••• M••••••••• L•• CRD 317824 | Altoona, WI | independent RIA | $132M | 90% | 2 | $66.1M | 0 | 0 |
| I•••••••• I•••••••• L•• CRD 111968 | Wauwatosa, WI | independent RIA | $129M | 100% | 3 | $43.1M | 0 | 0 |
| C•••••• W••••• A•••••••• L••• CRD 155263 | West Bend, WI | independent RIA | $126M | 100% | 1 | $126M | 0 | 0 |
| B•••••••• A••••••• S•••••••• L•• CRD 332173 | Muskego, WI | independent RIA | $126M | 100% | 2 | $62.9M | 0 | 0 |
| C•••• A••••••• L•• CRD 340229 | East Troy, WI | independent RIA | $122M | 99% | 2 | $61.2M | 0 | 0 |
| O••• F•••••••• L•• CRD 314670 | Madison, WI | independent RIA | $117M | 94% | 1 | $117M | 0 | 0 |
| P••••••••• F•••••••• M••••••••• I••• CRD 154016 | Appleton, WI | independent RIA | $116M | 100% | 3 | $38.5M | 0 | 0 |
| L••••• B••••••• • W•••• W••••• M••••••••• L•• CRD 281302 | Madison, WI | independent RIA | $115M | 99% | 5 | $23.1M | 0 | 1 |
| Y••••• W••••• M••••••••• L•• CRD 168325 | Madison, WI | independent RIA | $112M | 100% | 2 | $56.0M | 0 | 0 |
| S••••••• I••••••••• M••••••••• L•• CRD 289217 | Wisconsin Rapids, WI | independent RIA | $112M | 100% | 1 | $112M | 0 | 0 |
| V••••• W••••• M••••••••• CRD 327845 | Oshkosh, WI | independent RIA | $112M | 98% | 1 | $112M | 0 | 0 |
| P••••• I••••••••• A•••••••• I••• CRD 111246 | Delafield, WI | independent RIA | $109M | 98% | 2 | $54.4M | 0 | 0 |
| S••••••• • A••••••••• L•• CRD 111421 | Appleton, WI | independent RIA | $108M | 100% | 2 | $53.9M | 2 | 0 |
| R••••• A•••• M••••••••• L•• CRD 329230 | Milwaukee, WI | asset manager | $108M | 0.0% | 0 | n/a | 0 | 0 |
| M•••••• A•••••••• L•• CRD 291305 | Milwaukee, WI | independent RIA | $108M | 99% | 2 | $53.8M | 0 | 0 |
| J••••• F•••••••• L••• P••••••• CRD 146633 | Kenosha, WI | independent RIA | $107M | 100% | 3 | $35.7M | 0 | 0 |
| M••••••••• W••••• M••••••••• L•• CRD 328483 | Waukesha, WI | independent RIA | $105M | 99% | 2 | $52.6M | 0 | 0 |
| B•••• P•••••••• G•••• M••••••••• C••••••• L•• CRD 326646 | Milwaukee, WI | asset manager | $83.7M | 0.0% | 0 | n/a | 1 | 0 |
| B•••• P•••••••• G•••• M••••••••• C•••••• I•• L•• CRD 292786 | Milwaukee, WI | asset manager | $81.7M | 0.0% | 0 | n/a | 1 | 0 |
| S••• C•••••• M••••••••• L•• CRD 129398 | Milwaukee, WI | other | $56.4M | 16% | 1 | $56.4M | 0 | 0 |
| A•••••• C•••••• M••••••••• L•• CRD 312256 | De Pere, WI | asset manager | $37.9M | 0.0% | 0 | n/a | 0 | 0 |
| B•••• P•••••••• G•••• M••••••••• C•••••• I• L•• CRD 269982 | Milwaukee, WI | asset manager | $22.4M | 0.0% | 0 | n/a | 1 | 0 |
| E•• M•••• S••••••••• L•• CRD 168410 | Appleton, WI | independent RIA | $18.1M | 71% | 11 | $1.6M | 1 | 0 |
| S••••••••• C•••••• M••••••••• L•• CRD 331940 | Milwaukee, WI | independent RIA | $3.8M | 100% | 3 | $1.3M | 1 | 0 |
| B•••• V•••••• P••••••• M••••••••• C•••••• I••• L•• CRD 145166 | Milwaukee, WI | asset manager | $1.3M | 0.0% | 0 | n/a | 1 | 0 |
| F•••••• L•• CRD 130687 | Brookfield, WI | no RAUM | $0 | n/a | 17 | n/a | 1 | 0 |
| I•••••••• L•• CRD 147589 | Appleton, WI | no RAUM | $0 | n/a | 2 | n/a | 2 | 0 |
| N••••••••• M••••• I••••••••• S••••••••• CRD 2881 | Milwaukee, WI | no RAUM | $0 | n/a | 2,136 | n/a | 0 | 0 |
| I••• H•••• A•••• M••••••••• L•• CRD 343529 | Neenah, WI | no RAUM | $0 | n/a | 1 | n/a | 0 | 0 |
The rest of the firm names 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.
Page 4 of 4Previous
195 advisers match.