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CRD 297362
MINNEAPOLIS, MN
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
Dated 2026-08-28 (filing); first seen by DFX 2026-09-19.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| J••••• C•••••• G•••••• | n/a | MINNEAPOLIS, MN | 4 | 28 | 6 | yes |
| A••••• S•••• K•••••• | Certified Financial Planner|Chartered Financial Consultant | Minneapolis, MN | 4 | 11 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| G••••••• J•••••• C•••••• | PRESIDENT / CCO | Na | yes | 02/2022 | Mar 15, 2024 | Oct 9, 2024 |
| V•• C•••••• F•••••••• C••••••••• | Member | E | yes | 09/2002 | Mar 15, 2024 | Oct 9, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| V•• C•••••• • C•• I••••••••• | n/a | n/a | n/a | N | yes | n/a |
| V•• C•••••• I•••••••• A••••••••• L•• | n/a | n/a | n/a | Y | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Bloomington | Mn | United States | 6 | yes |
| Annapolis | Md | United States | 1 | yes |
| Bismarck | Nd | United States | 1 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 27, 2026 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 16 | 0 | 16 | 0.0% | 6 | 0 | 0 | 25 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $470M | $327M | 43.7% | n/a | n/a | 28 | 20 | 5 | 5 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| B••••• T••••••• W••••• | 2 | Apr 15, 2025 | Feb 18, 2025 | BELLEVUE, NE | Team lift out | Other | 100.0% |
| yes |
| A•••••• J•• C•••• | Certified Financial Planner|Chartered Financial Consultant | MINNEAPOLIS, MN | 4 | 10 | n/a | yes |
| J••••• H••• R••• | Certified Financial Planner | MINNEAPOLIS, MN | Bismarck, ND | 3 | 27 | n/a | yes |
| T•••••• J•••• C••••••• | n/a | MINNEAPOLIS, MN | 3 | 45 | n/a | yes |
| S•••••• J••••• P••••• | n/a | MINNEAPOLIS, MN | 3 | 11 | n/a | yes |
| J•••••• R••••• M•••••• | Certified Financial Planner | MINNEAPOLIS, MN | Lakeville, MN | 3 | 19 | 2 | yes |
| R••••• E••••• L••• | n/a | MINNEAPOLIS, MN | 3 | 37 | 5 | yes |
| B••••••• C• C•••• | n/a | MINNEAPOLIS, MN | 2 | 10 | n/a | yes |
| A••• M•••••• | n/a | New Brighton, MN | MINNEAPOLIS, MN | 2 | 25 | 2 | yes |
| W•••••• L• C••••••••• | Certified Financial Planner | MINNEAPOLIS, MN | Minneapolis, MN | 2 | 15 | 3 | no |
| B•••••• D••••• O••••••• | Certified Financial Planner | Annapolis, MD | MINNEAPOLIS, MN | 2 | 11 | 5 | yes |
| W•• Q••• | Chartered Financial Analyst | Bloomington, MN | MINNEAPOLIS, MN | 1 | 13 | 1 | yes |
| M•••••• A••• C•• | Certified Financial Planner | MINNEAPOLIS, MN | Dallas, TX | 1 | 21 | 3 | yes |
| R••••• K•••••• H••• | Certified Financial Planner | Bellevue, NE | MINNEAPOLIS, MN | 1 | 29 | 5 | yes |
| B•••• W•••• W••••• | n/a | MINNEAPOLIS, MN | Bennet, NE | 1 | 18 | 2 | no |
| A••••• G•••• K••••• | n/a | MINNEAPOLIS, MN | Bloomington, MN | 1 | 10 | n/a | no |
| J••••• F•••••••• | n/a | San Antonio, TX | MINNEAPOLIS, MN | 1 | 18 | 3 | yes |
| Y•••• T••• | n/a | MINNEAPOLIS, MN | Flower Mound, TX | 1 | 15 | 1 | yes |
| T••••• A••••• P•••• | n/a | MINNEAPOLIS, MN | Bloomington, MN | 0 | 40 | 2 | no |
| M•••••• J••• R••• | n/a | MINNEAPOLIS, MN | 0 | 41 | n/a | yes |
| T•••• M•••••• L•••••• | Chartered Financial Consultant | Bloomfield Hills, MI | MINNEAPOLIS, MN | 0 | 13 | 1 | yes |
| A•••• J• S••••••• | n/a | Hopkinsville, KY | MINNEAPOLIS, MN | 0 | 10 | 3 | yes |
| N••• J•••• H••••• | Certified Financial Planner | MINNEAPOLIS, MN | Breaux Bridge, LA | 0 | 39 | 13 | yes |
| R••••• B••• | n/a | MINNEAPOLIS, MN | Bloomington, MN | 0 | 13 | 1 | no |
| $470M |
| $464M |
| 28 |
| 24 |
| 4 |
| n/a |
| n/a |
| 2024 | Apr 8, 2025 | $327M | $323M | 20 | 18 | 5 | n/a | n/a |