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W•••• O••• W••••• A••••••• I••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

W•••• O••• W••••• A••••••• I••

CRD 106555

MINNEAPOLIS, MN

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Search this name across graphsid dfx:ria:0f214097-76c2-ed8f-705f-923078d85180

Data as of Sep 23, 2014 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Apr 2, 2012 to Sep 23, 2014
8 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $430MItem 5.F on the latest filing (2014-09-23); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $341M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
K••••••••• R•••••• J•••	CEO AND CHIEF INVESTMENT OFFICER	D	yes	03/1996	Apr 2, 2012	Sep 23, 2014
B••••••••• S•••••• A•••••	PRESIDENT AND CHIEF COMPLIANCE OFFICER	C	no	04/2003	Apr 2, 2012

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
W•••• O••• I••••••••• M••••••••• I••	n/a	Asset manager	$496M	Y	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	n/a	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

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

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2013	$430M	$298M	44.4%	n/a	n/a	10	10	n/a	n/a

Relationships

Affiliated with (1)

→ W•••• O••• I••••••••• M••••••••• I••Registered adviserother investment adviser, control, common control
factForm ADV

Owns (1)

← B••••••••• S•••••• A•••••OwnerPRESIDENT AND CHIEF COMPLIANCE OFFICER, ownership code C, individual
Apr 2, 2012 to presentfactForm ADV

Controls (1)

← K••••••••• R•••••• J•••OwnerCEO AND CHIEF INVESTMENT OFFICER, ownership code D, individual
Apr 2, 2012 to presentfactForm ADV

Dated events

Occurred
Sep 18, 2014
Succession filed (Item 4)
W•••• O••• W••••• A••••••• I•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0f214097-76c2-ed8f-705f-923078d85180
First observed: Apr 2, 2012
Last observed: Sep 23, 2014 146 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.