DFX Intelligence

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

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RIA / WealthRegistered adviserstate registeredstate registeredRAUM under $100M

L•••••• A••••• A•••••••• L••

CRD 310589

MINNETONKA, MN

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Search this name across graphsid dfx:ria:4efb904f-99c0-311a-14d3-958ecba66c86

Data as of Mar 20, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 20, 2026 to Mar 20, 2026
1 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: state registeredderivedon the IAPD state feed, not SEC-registered
Regulatory AUM: $21.0M••• Locked
Discretionary RAUM: $21.0M
Private client RAUM: $21.0Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Employees: 2
Advisory employees: 2

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
A••• B•••• C•••••	n/a	Lakewood, CO \| MINNETONKA, MN	5	18	1	no
S•••••• L•••••• A•••••	n/a	MINNETONKA, MN	0	20

Relationships

Registered with (2)

← S•••••• L•••••• A•••••Advisorregistration: previous registration
Oct 29, 2020 to Dec 31, 2020factForm ADV
← A••• B•••• C•••••Advisorregistration: current employment
Jul 19, 2021 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4efb904f-99c0-311a-14d3-958ecba66c86
First observed: Mar 20, 2026
Last observed: Mar 20, 2026 6 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.