DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM over $100B

S•••••

J•••••• S••••• & ASSOCIATES, INC., CRD 111795

MINNEAPOLIS, MN

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Search this name across graphsid dfx:ria:15c27ca5-4aa2-f93b-9765-27f7171728da

Data as of Apr 28, 2016 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 0
On other graphs: 0
Observed: Mar 28, 2012 to Apr 28, 2016
12 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: $124B••• Locked
Discretionary RAUM: $1.1B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 80
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S•••••• J••••••• C••••••	PRESIDENT AND CHAIRMAN OF BOARD	E	yes	12/2009	Mar 28, 2012	Apr 28, 2016
B••••••• J•••• H•••••	BOARD MEMBER	Na	no	12/2009	Mar 28, 2012	Apr 28, 2016

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
N•••••••• C•••••• M••••••••• L••	n/a	Independent wealth	$6.9B	N	yes	n/a
D•• S•••••••• L•	n/a	n/a	n/a	N	no	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016	Apr 28, 2016

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$124B	$116B	6.9%	$95B	9.1%	80	80	n/a	n/a

Relationships

Affiliated with (1)

→ N•••••••• C•••••• M••••••••• L••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV

Owns (10)

← D••••••• D•••••• J••••OwnerBOARD MEMBER AND VICE CHAIR, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← B••••••• J•••• H•••••OwnerBOARD MEMBER, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← M•••••• B••••• D•••••OwnerPRINCIPAL, ownership code NA, individual

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:15c27ca5-4aa2-f93b-9765-27f7171728da
First observed: Mar 28, 2012
Last observed: Apr 28, 2016 126 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.