DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

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

M•••••••• L•••

CRD 157586

MINNEAPOLIS, MN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:14a212b1-0306-6c46-95df-4284c5c26798

Data as of Mar 21, 2014 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:36 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: Jan 17, 2012 to Mar 21, 2014
7 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: $208M••• Locked
Discretionary RAUM: $208M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 12
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• J••••• T•••••••	CFO; LIMITED PARTNER	Na	yes	11/2004	Jan 17, 2012	Mar 21, 2014
H•••• V•• Z••••	LIMITED PARTNER	B	yes	01/2014	Jan 17, 2012	Mar 21, 2014

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
G•••••• H••• J•••••• • M••••••• I•••••••••	n/a	Former SEC adviser	$232M	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2013	Mar 21, 2014

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2013	$208M	$255M	-18.6%	n/a	n/a	12	12	n/a	n/a

Relationships

Affiliated with (2)

← G•••••• H••• J•••••• • M••••••• I•••••••••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ G•••••• H••• J•••••• • M••••••• I•••••••••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV

Controls (5)

← B••••• J••••• T•••••••OwnerCFO; LIMITED PARTNER, ownership code NA, individual
Jan 17, 2012 to presentfactForm ADV
← J••••••• T••••••• D•••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:14a212b1-0306-6c46-95df-4284c5c26798
First observed: Jan 17, 2012
Last observed: Mar 21, 2014 152 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.