DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 10b 100b

T•• C•••••• G•••• I••••••••• M••••••••• C••••••

CRD 105370

MINNEAPOLIS, MN

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Search this name across graphsid dfx:ria:241382c5-bfd9-cb44-21dc-b40e494f9514

Data as of Jan 18, 2013 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 0
On other graphs: 0
Observed: Dec 20, 2011 to Jan 18, 2013
6 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: $31B••• Locked
Discretionary RAUM: $26B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 45
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••• T•••••• J•••••	SECRETARY, DIRECTOR, CHAIRMAN	B	yes	04/1996	Dec 20, 2011	Jan 18, 2013
C••••••• O•••••• Y••••	MANAGING PRINCIPAL, PRESIDENT	A	yes	09/2008	Dec 20, 2011	Jan 18, 2013

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S••••• B••••• • H•••••	n/a	Other adviser	$23B	N	yes	n/a
D•••••••• W••••• A••••••• L••	n/a	Independent wealth	$505M	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 30, 2012	$31B	$26B	n/a	n/a	n/a	1	$288M

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$31B	n/a	n/a	n/a	n/a	45	n/a	n/a	n/a

Relationships

Affiliated with (3)

→ S••••• B••••• • H•••••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ L••••••• W••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ C••••••• S••••••••• L••Registered adviserother investment adviser, broker-dealer, bank, pooled vehicle sponsor, common control
factForm ADV

Controls (7)

← C••••••• O•••••• Y••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:241382c5-bfd9-cb44-21dc-b40e494f9514
First observed: Dec 20, 2011
Last observed: Jan 18, 2013 166 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.