DFX Intelligence

N••••••• P•••••• G••••• L•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM under $100M

N••••••• P•••••• G••••• L•••

CRD 299012

MINNEAPOLIS, MN

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Search this name across graphsid dfx:ria:08ae7071-2ea6-bf57-7376-c640173a6203

Data as of May 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 3
On other graphs: 3
Observed: Jun 26, 2019 to May 27, 2026
10 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Venture Capitalidentity

N••••••• P•••••• G••••• L•••

Venture manager · shared crd

Independent Sponsorsidentity

N••••••• P•••••• G••••• L•••

Capital provider to sponsors · shared crd

Private Equityidentity

N••••••• P•••••• G••••• L•••

Private equity manager · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $58.6M••• Locked
Discretionary RAUM: $58.6M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
N••••••• P•••••• I••••••••• P••••••• I•• L•••	Private Equity Fund	$36.9M	May 27, 2026	10	Mar 29, 2019	reported	021-324271
L••• S••••• P•••••••• L•••	Private Equity Fund	$4.7M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F••••• C••••••• L••	LIMITED PARTNER	D	yes	01/2017	Jun 26, 2019	Mar 29, 2024
H•••••••• M••••• A•••	CHIEF COMPLIANCE OFFICER	B	yes	10/2023	Jun 26, 2019	Mar 29, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
L••• S••••• P••••••• G•• L•••	n/a	n/a	n/a	N	yes	n/a
N••••••• P•••••• G•••• G• I•• L•••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$58.6M	$151M	-61.3%	$141M	-25.3%	3	5	0	0

Relationships

Advises (4)

→ N••••••• P•••••• I••••••••• P••••••• I•••• L•••Private fundPrivate Equity Fund, IA
Mar 29, 2019 to presentfactForm ADV
→ N••••••• P•••••• I••••••••• P••••••• I•• L•••Private fundPrivate Equity Fund, IA
Mar 29, 2019 to presentfactForm ADV
→ L••• S••••• P•••••••• L•••Private fundPrivate Equity Fund, IA
Oct 25, 2018 to presentfactForm ADV
→ N••••••• P•••••• I••••••••• P••••••• I•••• L•••

Dated events

Occurred
Mar 29, 2024
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 29, 2020
Ria registration change
••• Locked
Form ADVobserved today
Occurred
Jun 26, 2019
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:08ae7071-2ea6-bf57-7376-c640173a6203
First observed: Jun 26, 2019
Last observed: May 27, 2026 3 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.