DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

P•••• S•••••• F•••••• M••••••••• L••

CRD 309345

MINNEAPOLIS, MN

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Search this name across graphsid dfx:ria:232b0160-f0e0-b3ee-3795-28b285bee166

Data as of Mar 14, 2024 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 8
On other graphs: 0
Observed: May 13, 2020 to Mar 14, 2024
9 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: $290M••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 19
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••• A••••	CHIEF INVESTMENT OFFICER	Na	yes	05/2020	May 13, 2020	Mar 14, 2024
B•••••• A•••••• L•••	CHIEF COMPLIANCE OFFICER	Na	yes	01/2024	Mar 14, 2024	Mar 14, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
P•••• S•••••• • C••	n/a	Institutional manager	$1.3B	N	yes	n/a
P•••• S•••••• A••••••• L••	n/a	Former SEC adviser	$365M	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	5	yes
Chicago	IL	United States	1	yes

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023	Mar 14, 2024

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$290M	$290M	0.0%	$0	n/a	19	18	2	2

Relationships

Affiliated with (9)

← P•• C•••••• P••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← P•••• H•••••••• H••••••••• C••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← P•••• S•••••• • C••Registered adviserother investment adviser, common control
factForm ADV
← P•••• S•••••• A••••••• L••Registered adviserother investment adviser, common control

Dated events

Occurred
Feb 3, 2025
Left the SEC roster
P•••• S•••••• F•••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2025-01-02, RAUM $290.0M)
Form ADVobserved 7 days ago
$290M
Occurred
Mar 14, 2024
Control person joined
Lynn Alyssa Ballis (Chief Compliance Officer) appeared on Schedule A of P•••• S•••••• F•••••• M••••••••• L••
Form ADVobserved 7 days ago
Occurred
Mar 14, 2024
Control person joined
Patricia Katherine Clune (Chief Financial Officer) appeared on Schedule A of P•••• S•••••• F•••••• M••••••••• L••
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:232b0160-f0e0-b3ee-3795-28b285bee166
First observed: May 13, 2020
Last observed: Mar 14, 2024 30 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.