DFX Intelligence

H••••••• C•••••• A•••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

H••••••• C•••••• A•••••••• L••

CRD 115308

ST PAUL, MN

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Search this name across graphsid dfx:ria:10f0267e-dc28-3505-3b83-93f5757fb870

Data as of Apr 13, 2023 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 3
On other graphs: 0
Observed: Mar 27, 2012 to Apr 13, 2023
19 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: $66.7M••• Locked
Discretionary RAUM: $66.7M
Private client RAUM: $66.7Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $66.7Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
S•••• F••• M•••••	n/a	ST PAUL, MN	8	31	n/a	no

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M•••••• S••••• F•••	CHIEF COMPLIANCE OFFICER	E	yes	03/2023	Mar 27, 2012	Apr 13, 2023

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M•••••• L•• • B•••••• P•••	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

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2022	$66.7M	$71.8M	-7.1%	$188M	-29.1%	4	2	0	0

Relationships

Controls (1)

← M•••••• S••••• F•••OwnerCHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 27, 2012 to presentfactForm ADV

Registered with (2)

← S•••• F••• M•••••Advisorregistration: current employment
Oct 18, 2017 to presentfactForm ADV
← M•••••• J•••• B••••••Advisorregistration: previous registration
Oct 10, 2017 to Mar 9, 2021factForm ADV

Dated events

Occurred
Mar 23, 2023
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 11, 2021
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-135M
Occurred
Mar 11, 2021
Control person left
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:10f0267e-dc28-3505-3b83-93f5757fb870
First observed: Mar 27, 2012
Last observed: Apr 13, 2023 41 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.