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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

A••••• I••••••••• A••••••• C•••••••••

CRD 145129

MINNETONKA, MN

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Search this name across graphsid dfx:ria:4243aeda-633e-66dd-0537-a085417c9152

Data as of Aug 26, 2015 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:36 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 1
On other graphs: 0
Observed: Feb 2, 2012 to Aug 26, 2015
14 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: $1.8B••• Locked
Discretionary RAUM: $1.8B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 15
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••• F•••••••• C•••••••••	DIRECT SHAREHOLDER	E	yes	09/1993	Feb 2, 2012	Aug 26, 2015
A••••• F••••••••• N•••	Shareholder	E	yes	09/2007	Feb 2, 2012	Aug 26, 2015

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••••• F•••••••• I•••••••• S••••••• C•••••••••	n/a	n/a	n/a	N	yes	n/a
A••••• F••••••••• N•••	n/a	n/a	n/a	Y	yes	Mn
A••••• S••••••••• C•••••••••

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
EAST LANSING	Mi	United States	n/a	no
GRAND FORKS	Nd	United States	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Feb 10, 2015

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2014	$1.8B	$1.7B	4.6%	$1.3B	9.6%	15	18	n/a	n/a

Relationships

Owns (6)

← N•••••• R••••• L••••OwnerCHAIRMAN/DIRECTOR, ownership code NA, individual
Feb 2, 2012 to presentfactForm ADV
← C••••••• E•••• A••••••OwnerCFO, ownership code NA, individual
Feb 2, 2012 to presentfactForm ADV
← B••••••••• K•••• A•••••OwnerDIRECTOR, ownership code NA, individual
Feb 2, 2012 to presentfactForm ADV
← S••••• S••••• N•OwnerPRESIDENT, CIO, CCO, ownership code NA, individual
Feb 2, 2012 to presentfact

Dated events

Occurred
Feb 2, 2012
Succession filed (Item 4)
A••••• I••••••••• A••••••• C••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4243aeda-633e-66dd-0537-a085417c9152
First observed: Feb 2, 2012
Last observed: Aug 26, 2015 134 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.