DFX Intelligence

Data Factory

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

DAKOTA WEALTH, LLC

CRD 141137

PALM BEACH GARDENS, FL

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:23035637-e690-6d23-1876-035069a7891f

Data as of May 15, 2018 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 23
Dated events: 1
On other graphs: 1
Observed: Feb 10, 2012 to May 15, 2018
20 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Venture Capitalidentity

Dakota Wealth, LLC

Venture manager · shared crd

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: $311MItem 5.F on the latest filing (2018-05-15); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $311M
Private client RAUM: $297MderivedItem 5.D individuals plus high net worth individuals
Private client share: 95%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 11
Advisory employees: 9
Offices: 3Schedule D 1.F, beyond the principal office
Accounts: 416
Individual clients: 310
High net worth clients: 97
SEC number: 801-67012
CRD: 141137
Filings on the tape: 20
First filed: Feb 10, 2012
Latest filed: May 15, 2018
Organised: Limited Liability Company, Florida

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
OPP-VI BUSINESS TRUST	Venture Capital Fund	$1.0M	Feb 3, 2014	12	Feb 3, 2014	dropped	n/a
OPP-V BUSINESS TRUST	Venture Capital Fund	$1.0M	Feb 3, 2014	12	Feb 6, 2013	dropped	n/a
OPP-III BUSINESS TRUST	Venture Capital Fund	$760,000	Feb 3, 2014	13	Feb 6, 2013	dropped	n/a
OPP-IV BUSINESS TRUST	Venture Capital Fund	$400,000	Feb 3, 2014	8	Feb 6, 2013	dropped	n/a
OPP-I, LP	Venture Capital Fund	$400,000	Feb 3, 2014	7	Feb 6, 2013	dropped	n/a
OPP-II BUSINESS TRUST	Venture Capital Fund	$100,000	Feb 3, 2014	11	Feb 6, 2013	dropped	n/a

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
DAKOTA WEALTH MANAGEMENT, LLC	MANAGING MEMBER	E	yes	05/2018	May 2, 2018	May 15, 2018
DESIMONE, JOHN, FREDERICK	CHIEF FINANCIAL OFFICER AND MANAGING PARTNER	Na	yes	12/2006	Feb 10, 2012	May 15, 2018
MAWN, PETER, FRANCIS	CHIEF STRATEGIC OFFICER AND MANAGING PARTNER	Na	yes	05/2018	Feb 10, 2012	May 15, 2018
RAIMONDI, PETER, JOHN	MANAGING PARTNER	D	yes	05/2018	May 2, 2018	May 15, 2018
RAIMONDI, PETER, JOHN	CHIEF EXECUTIVE OFFICER AND MANAGING PARTNER	Na	yes	05/2018	May 2, 2018	May 15, 2018
REED, MICHAEL	CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER AND MANAGING PARTNER	Na	yes	05/2018	May 2, 2018	May 15, 2018

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
JOHN F. DESIMONE	n/a	n/a	n/a	N	no	n/a

Offices

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

City	State	Country	Employees	Also broker-dealer
Peabody	Ma	United States	8	no
Amesbury	Ma	United States	1	no
Portsmouth	Nh	United States	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
2017	Feb 9, 2018	$311M	$311M	7	7	2	n/a	n/a
2016	Mar 20, 2017	$214M	$214M	8	7	n/a	n/a	n/a
2015	Feb 29, 2016	$209M	$209M	7	7	n/a	n/a	n/a
2014	Mar 11, 2015	$228M	$228M	7	7	n/a	n/a	n/a
2013	Feb 3, 2014	$1.4B	$220M	7	7	n/a	6	$3.7M
2012	Feb 6, 2013	$979M	$195M	6	6	n/a	5	$2.7M
2011	Feb 10, 2012	$675M	$176M	n/a	n/a	n/a	n/a	n/a

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
2017	$311M	$214M	45.1%	$228M	10.9%	11	8	3	n/a

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
DAKOTA WEALTH, LLC	7	Mar 25, 2019	Jan 1, 2025	PALM BEACH GARDENS, FL	Firm absorbed	RIA to RIA	77.8%
DAKOTA WEALTH, LLC	2	Mar 25, 2019	Oct 10, 2018	PEABODY, MA	Channel change	RIA to RIA	22.2%

Relationships

Controls (5)

← RAIMONDI, PETER, JOHNOwnerMANAGING PARTNER, ownership code D, individual
May 2, 2018 to presentfactForm ADV
← MAWN, PETER, FRANCISOwnerCHIEF STRATEGIC OFFICER AND MANAGING PARTNER, ownership code NA, individual
Feb 10, 2012 to presentfactForm ADV
← DESIMONE, JOHN, FREDERICKOwnerCHIEF FINANCIAL OFFICER AND MANAGING PARTNER, ownership code NA, individual
Feb 10, 2012 to presentfactForm ADV
← REED, MICHAELOwnerCHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER AND MANAGING PARTNER, ownership code NA, individual
May 2, 2018 to presentfactForm ADV
← DAKOTA WEALTH MANAGEMENT, LLCOwnerMANAGING MEMBER, ownership code E, domestic entity
May 2, 2018 to presentfactForm ADV

Moved with (1)

→ DAKOTA WEALTH, LLCRegistered adviser7 advisors, firm absorbed, same day
Mar 25, 2019 to Jan 1, 2025factForm ADV

Registered with (9)

← PETER JOHN RAIMONDIAdvisorregistration: previous registration
Jun 12, 2018 to Mar 25, 2019factForm ADV
← JILL DEBRA RANCEAdvisorregistration: previous registration
Jun 14, 2018 to Mar 25, 2019factForm ADV
← MYRANDA JANE OBARAAdvisorregistration: previous registration
Apr 2, 2007 to Mar 25, 2019factForm ADV
← JOHN FREDERICK DESIMONEAdvisorregistration: previous registration
Jan 31, 2007 to Mar 25, 2019factForm ADV
← MARILYN ASHLEY RIOSAdvisorregistration: previous registration
Feb 2, 2017 to Mar 25, 2019factForm ADV
← WILLIAM JOHN MIKUSAdvisorregistration: previous registration
Jun 8, 2018 to Mar 25, 2019factForm ADV
← BRETT WILLIAM ORVIETOAdvisorregistration: previous registration
Jun 13, 2018 to Mar 25, 2019factForm ADV
← LUKE S BAXTERAdvisorregistration: previous registration
Dec 1, 2011 to Mar 25, 2019factForm ADV
← BRYAN PAUL KELLERAdvisorregistration: previous registration
Jun 21, 2018 to Mar 25, 2019factForm ADV

Advises (6)

→ OPP-I, LPPrivate fundVenture Capital Fund, IA, no longer reported
Feb 6, 2013 to Feb 3, 2014factForm ADV
→ OPP-IV BUSINESS TRUSTPrivate fundVenture Capital Fund, IA, no longer reported
Feb 6, 2013 to Feb 3, 2014factForm ADV
→ OPP-II BUSINESS TRUSTPrivate fundVenture Capital Fund, IA, no longer reported
Feb 6, 2013 to Feb 3, 2014factForm ADV
→ OPP-VI BUSINESS TRUSTPrivate fundVenture Capital Fund, IA, no longer reported
Feb 3, 2014 to Feb 3, 2014factForm ADV
→ OPP-III BUSINESS TRUSTPrivate fundVenture Capital Fund, IA, no longer reported
Feb 6, 2013 to Feb 3, 2014factForm ADV
→ OPP-V BUSINESS TRUSTPrivate fundVenture Capital Fund, IA, no longer reported
Feb 6, 2013 to Feb 3, 2014factForm ADV

Dated events

Occurred
May 2, 2018
Succession filed (Item 4)
Oakmont Partners, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:23035637-e690-6d23-1876-035069a7891f
First observed: Feb 10, 2012
Last observed: May 15, 2018 101 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.

DAKOTA WEALTH, LLC

CRD 141137

PALM BEACH GARDENS, FL

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:23035637-e690-6d23-1876-035069a7891f

Data as of May 15, 2018 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:38 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

OPP-VI BUSINESS TRUST

Venture Capital Fund

$1.0M

Feb 3, 2014

dropped

n/a

OPP-V BUSINESS TRUST

Venture Capital Fund

$1.0M

Feb 3, 2014

Feb 6, 2013

dropped

n/a

OPP-III BUSINESS TRUST

Venture Capital Fund

$760,000

Feb 3, 2014

Feb 6, 2013

dropped

n/a

OPP-IV BUSINESS TRUST

Venture Capital Fund

$400,000

Feb 3, 2014

Feb 6, 2013

dropped

n/a

OPP-I, LP

Venture Capital Fund

$400,000

Feb 3, 2014

Feb 6, 2013

dropped

n/a

OPP-II BUSINESS TRUST

Venture Capital Fund

$100,000

Feb 3, 2014

Feb 6, 2013

dropped

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DAKOTA WEALTH MANAGEMENT, LLC

MANAGING MEMBER

yes

05/2018

May 2, 2018

May 15, 2018

DESIMONE, JOHN, FREDERICK

CHIEF FINANCIAL OFFICER AND MANAGING PARTNER

yes

12/2006

Feb 10, 2012

May 15, 2018

MAWN, PETER, FRANCIS

CHIEF STRATEGIC OFFICER AND MANAGING PARTNER

yes

05/2018

Feb 10, 2012

May 15, 2018

RAIMONDI, PETER, JOHN

MANAGING PARTNER

yes

05/2018

May 2, 2018

May 15, 2018

RAIMONDI, PETER, JOHN

CHIEF EXECUTIVE OFFICER AND MANAGING PARTNER

yes

05/2018

May 2, 2018

May 15, 2018

REED, MICHAEL

CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER AND MANAGING PARTNER

yes

05/2018

May 2, 2018

May 15, 2018

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

JOHN F. DESIMONE

n/a

City

State

Country

Employees

Also broker-dealer

Peabody

United States

Amesbury

United States

Portsmouth

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Feb 9, 2018

$311M

n/a

2016

Mar 20, 2017

$214M

n/a

2015

Feb 29, 2016

$209M

n/a

2014

Mar 11, 2015

$228M

n/a

2013

Feb 3, 2014

$1.4B

$220M

n/a

$3.7M

2012

Feb 6, 2013

$979M

$195M

n/a

$2.7M

2011

Feb 10, 2012

$675M

$176M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

$311M

$214M

45.1%

$228M

10.9%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

DAKOTA WEALTH, LLC

Mar 25, 2019

Jan 1, 2025

PALM BEACH GARDENS, FL

Firm absorbed

RIA to RIA

77.8%

DAKOTA WEALTH, LLC

Mar 25, 2019

Oct 10, 2018

PEABODY, MA

Channel change

RIA to RIA

22.2%