DFX Intelligence

G••••••• W••••• S••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

G••••••• W••••• S••••••••• L••

CRD 167485

MINNEAPOLS, MN

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Search this name across graphsid dfx:ria:3d1820ed-4449-6c3b-4535-3136e2d1584a

Data as of Feb 20, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 4
On other graphs: 0
Observed: Dec 4, 2015 to Feb 20, 2026
32 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: independent wealth managerderivedprivate_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.1B••• Locked
Discretionary RAUM: $1.1B
Private client RAUM: $1.1Bderived••• Locked
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $228Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
B••••••• C••••• O••••	n/a	MINNEAPOLS, MN	9	20	n/a	no
B•••• D••• H••••	n/a	MINNEAPOLS, MN	6	25

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G••••••• G••••••• J•••••	CHIEF COMPLIANCE OFFICER	Na	yes	04/2013	Feb 20, 2026	Feb 20, 2026
H••••• B••••• D•••	Founder	Na	yes	04/2013	Feb 20, 2026	Feb 20, 2026

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A•• T••••• F•••••••• L••	n/a	n/a	n/a	N	no	n/a
G••••••• I•••••••• S••••••••• L••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Burnsville	Mn	United States	1	no
Burnsville	Mn	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

Advisor flows

••• Locked

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	2	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$1.1B	$944M	20.5%	$564M	26.3%	11	11	2	2

Relationships

Controls (3)

← G••••••• G••••••• J•••••OwnerMEMBER, ownership code D, individual
Dec 4, 2015 to Jan 25, 2024factForm ADV
← H••••• B••••• D•••OwnerMEMBER, ownership code C, individual
Dec 4, 2015 to Jan 25, 2024factForm ADV
← U••••••••• I••••••••• A•••••••OwnerMEMBER, ownership code E, domestic entity
Feb 20, 2026 to presentfactForm ADV

Registered with (9)

← Y•••••• K•••Advisorregistration: current employment

Dated events

Occurred
Jan 14, 2025
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$212M
Occurred
Feb 3, 2022
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$124M
Occurred
May 3, 2019
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Dec 4, 2015
First Form ADV filing

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3d1820ed-4449-6c3b-4535-3136e2d1584a
First observed: Dec 4, 2015
Last observed: Feb 20, 2026 7 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.