DFX Intelligence

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

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

C••••••••• I••••••••• A•••••••• L••

CRD 138509

BAXTER, MN

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Search this name across graphsid dfx:ria:32107874-0398-5547-3f14-ce2107562a64

Data as of Oct 18, 2016 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:44 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 1
On other graphs: 0
Observed: Mar 1, 2012 to Oct 18, 2016
13 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: $105M••• Locked
Discretionary RAUM: $105M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• G••••• I•••	Member	D	yes	10/2002	Mar 1, 2012	Oct 18, 2016
B•••••• J••••• P•••	PRESIDENT/SHAREHOLDER	E	yes	10/2002	Mar 1, 2012	Oct 18, 2016

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
BELLE PLAINE	Mn	United States	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 11, 2016

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	$105M	$107M	-2.2%	n/a	n/a	7	7	n/a	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C••••• A•••••• N••••••• L••	2	Feb 28, 2017	Apr 11, 2016	BAXTER, MN	Team lift out	Other	100.0%

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••	2	Apr 7, 2016	Jan 31, 2014	LITCHFIELD, MN	Team lift out	Other	0.3%

Relationships

Controls (5)

← B•••••• J••••• P•••OwnerPRESIDENT/SHAREHOLDER, ownership code E, individual
Mar 1, 2012 to presentfactForm ADV
← L••••• D••••• M••••••OwnerPRESIDENT/SHAREHOLDER, ownership code E, individual
Mar 1, 2012 to presentfactForm ADV
← B••••• G••••• I•••OwnerMEMBER, ownership code D, domestic entity
Mar 1, 2012 to presentfactForm ADV
← C••••••••• A•••••••• L••OwnerMANAGING MEMBER, ownership code E, domestic entity
Mar 1, 2012 to presentfact

Dated events

Occurred
Mar 12, 2013
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:32107874-0398-5547-3f14-ce2107562a64
First observed: Mar 1, 2012
Last observed: Oct 18, 2016 120 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.