DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

CONTEXT FINANCIAL GROUP

CONTEXT FINANCIAL GROUP, LLC, CRD 134781

NORTH OAKS, MN

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:3ca57ac3-9a40-6b79-9c4d-a36a6155a0f6

Data as of Apr 9, 2013 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:28 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Dec 9, 2011 to Apr 9, 2013
4 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: $83.9MItem 5.F on the latest filing (2013-04-09); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $42.0Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 3
Advisory employees: 2
Accounts: 719
SEC number: 801-69904
CRD: 134781
Filings on the tape: 4
First filed: Dec 9, 2011
Latest filed: Apr 9, 2013
Organised: Limited Liability Company, Minnesota

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
STEFAN CHRISTOPHER LIISTE	Certified Financial Planner	WHITE BEAR LAKE, MN	10	35	3	no
KATHLEEN MARY LIISTE	Certified Financial Planner	WHITE BEAR LAKE, MN	10	33	n/a	no

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
LIISTE, STEFAN, CHRISTOPHER	CHIEF COMPLIANCE OFFICER & MANAGING MEMBER	E	yes	03/2005	Dec 9, 2011	Apr 9, 2013

Offices

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

City	State	Country	Employees	Also broker-dealer
FOREST LAKE	Mn	United States	n/a	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
2012	Mar 18, 2013	$83.9M	$0	3	2	n/a	n/a	n/a
2011	Feb 28, 2012	$92.2M	$0	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

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
2012	$83.9M	$92.2M	-9.0%	n/a	n/a	3	n/a	n/a	n/a

Relationships

Registered with (2)

← STEFAN CHRISTOPHER LIISTEAdvisorregistration: previous registration
Mar 24, 2009 to Nov 28, 2011factForm ADV
← KATHLEEN MARY LIISTEAdvisorregistration: current employment
Jan 12, 2016 to presentfactForm ADV

Controls (1)

← LIISTE, STEFAN, CHRISTOPHEROwnerCHIEF COMPLIANCE OFFICER & MANAGING MEMBER, ownership code E, individual
Dec 9, 2011 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3ca57ac3-9a40-6b79-9c4d-a36a6155a0f6
First observed: Dec 9, 2011
Last observed: Apr 9, 2013 163 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.

CONTEXT FINANCIAL GROUP

CONTEXT FINANCIAL GROUP, LLC, CRD 134781

NORTH OAKS, MN

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:3ca57ac3-9a40-6b79-9c4d-a36a6155a0f6

Data as of Apr 9, 2013 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:28 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

STEFAN CHRISTOPHER LIISTE

Certified Financial Planner

WHITE BEAR LAKE, MN

KATHLEEN MARY LIISTE

Certified Financial Planner

WHITE BEAR LAKE, MN

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

LIISTE, STEFAN, CHRISTOPHER

CHIEF COMPLIANCE OFFICER & MANAGING MEMBER

yes

03/2005

Dec 9, 2011

Apr 9, 2013

City

State

Country

Employees

Also broker-dealer

FOREST LAKE

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2012

Mar 18, 2013

$83.9M

n/a

2011

Feb 28, 2012

$92.2M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2012

$83.9M

$92.2M

-9.0%

n/a