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.

Firm class

former SEC adviserderivedabsent from the latest SEC roster

Regulatory AUM

$25.5MItem 5.F on the latest filing (2016-12-21); as reported, and an affiliate's assets may be counted again on its own filing

Discretionary RAUM

$25.5M

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

1

RAUM per advisor

$25.5Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book

Employees

1

Advisory employees

1

Accounts

195

SEC number

801-108286

CRD

284315

Filings on the tape

6

First filed

Aug 12, 2016

Latest filed

Dec 21, 2016

Organised

Limited Liability Company, Minnesota

• Occurred

  Aug 12, 2016
  First Form ADV filing

  Aa Financial, Llc filed its initial SEC registration (Form ADV)

  Form ADVobserved 6 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:1ded5b54-c8aa-01b5-2eef-5ee8344d2b75

First observed

Aug 12, 2016

Last observed

Dec 21, 2016 118 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.