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

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

S••••• W••••• A••••••••• L••

CRD 151330

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Search this name across graphsid dfx:ria:1bf4053a-9566-57b3-04bc-49f35b4fdf66

Data as of Dec 26, 2023 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 17
On other graphs: 0
Observed: Nov 13, 2017 to Dec 26, 2023
17 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: $315MItem 5.F on the latest filing (2023-12-26); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $295M
Private client RAUM: $315MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%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
A••••• G••••• I••• D•• C••••• H•••••••	SOLE MEMBER	E	yes	11/2023	Dec 26, 2023	Dec 26, 2023
A•••••• H••••••• L••	Shareholder	E	yes	10/2022	Jul 27, 2023

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
A•••••• A••••••• S•••••••• I•••	n/a	Former SEC adviser	$46B	N	yes	n/a
A•••••• P••••••• P•••••••• I•••	n/a	Bd affiliated wealth	$7.6B	N	yes

Offices

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

City	State	Country	Employees	Also broker-dealer
ST. LOUIS PARK	Mn	United States	1	no
n/a	n/a	n/a	1	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
2022	$315M	$354M	-11.1%	$190M	18.4%	8	8	3	4

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
A•••••• P••••••• P•••••••• I•••	3	Mar 28, 2024	Nov 30, 2023	PRIOR LAKE, MN	Firm absorbed	RIA to ibd	100.0%

Relationships

Affiliated with (2)

→ A•••••• A••••••• S•••••••Registered adviserother investment adviser, common control
factForm ADV
→ A•••••• P••••••• P•••••••• I•••Registered adviserother investment adviser, common control
factForm ADV

Controls (9)

← M•••••• T•••• C•••••••••OwnerPRESIDENT, ownership code NA, individual
Jul 27, 2023 to presentfactForm ADV
← L••••• M••••••• R•••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual

Dated events

Occurred
Mar 28, 2024
Firm absorbed
S••••• W••••• A••••••••• L••'s advisors moved to A•••••• P••••••• P•••••••• I••• (Prior Lake, MN): 3 of 3 registered, on the same day
Form ADVobserved 7 days ago
3 advisors
Occurred
Mar 28, 2024
Advisor changed firm
Rebecca Botzet left S••••• W••••• A••••••••• L•• for A•••••• P••••••• P•••••••• I••• (registered 2023-11-30)
Form ADVobserved 7 days ago
Occurred
Mar 28, 2024
Advisor changed firm
Anita Kalafut left S••••• W••••• A••••••••• L•• for A•••••• P••••••• P•••••••• I••• (registered 2023-11-28)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1bf4053a-9566-57b3-04bc-49f35b4fdf66
First observed: Nov 13, 2017
Last observed: Dec 26, 2023 33 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.