DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM 1b 10b

A•••• A•••• M••••••••• I•••

CRD 286557

EAGAN, MN

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Data as of Feb 19, 2020 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:49 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 9
On other graphs: 0
Observed: Sep 5, 2017 to Feb 19, 2020
8 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: $2.3B••• Locked
Discretionary RAUM: $2.3B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 15
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••••• J•••••• P•••••	CHIEF COMPLIANCE OFFICER, TREASURER	Na	yes	09/2017	Sep 5, 2017	Feb 19, 2020
A•••• I••••••••• I•••	PARENT CORPORATION	E	yes	07/1994	Sep 5, 2017	Feb 19, 2020

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
B••••• I•••	n/a	n/a	n/a	N	yes	n/a
M•• L•••• I•••••••••	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
2019	Feb 19, 2020

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$2.3B	$1.7B	33.9%	n/a	n/a	15	12	0	0

Relationships

Controls (6)

← O••••• J•••• E••••OwnerPRESIDENT AND CHIEF INVESTMENT OFFICER, CHAIR, ownership code NA, individual
Sep 5, 2017 to presentfactForm ADV
← R•••••• A•••••• M•••OwnerSECRETARY, DIRECTOR, ownership code NA, individual
Sep 5, 2017 to presentfactForm ADV
← A••••••••• J•••••• P•••••OwnerCHIEF COMPLIANCE OFFICER, TREASURER, ownership code NA, individual
Sep 5, 2017 to presentfactForm ADV
← M•••••••• J••• S••••••OwnerVICE CHAIR, ownership code NA, individual
Sep 5, 2017 to present

Dated events

Order

Occurred
19 Feb 2020
Control person left
••• Locked
Form ADV
Occurred
19 Feb 2020
Regulatory AUM changed
••• Locked
Form ADV
$584M
Occurred
29 Mar 2019
Control person joined2 events
A•••• A•••• M••••••••• I•••: control person joined, 2 events, on 29 Mar 2019
- ••• Locked
- ••• Locked
Occurred
29 Mar 2019
Control person left2 events
A•••• A•••• M••••••••• I•••: control person left, 2 events, on 29 Mar 2019
- ••• Locked
- ••• Locked
Occurred
29 Mar 2019
Regulatory AUM changed
••• Locked
Form ADV
$435M

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Sep 5, 2017
Last observed: Feb 19, 2020 80 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.