DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

C•• F•••••••• S•••••••• L•••

CRD 141278

SAINT LOUIS PARK, 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:5082fbee-8fe8-b221-d4a8-1400083f0699

Data as of Mar 14, 2023 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:51 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 3
On other graphs: 0
Observed: Dec 9, 2011 to Mar 14, 2023
23 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: $218M••• Locked
Discretionary RAUM: $218M
Private client RAUM: $218Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 9

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• O•••• C••••••	VICE PRESIDENT	B	yes	10/2006	Dec 9, 2011	Mar 14, 2023
L••••• J•••••••• W••••	CHIEF COMPLIANCE OFFICER, PRESIDENT	E	yes	10/2006	Dec 9, 2011	Mar 14, 2023

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•••••••• T••••• A•• B••••• L•••	n/a	n/a	n/a	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2022

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2022	$218M	$251M	-13.1%	$194M	4.1%	9	9	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C••••••• P•••••••	2	Nov 10, 2023	Aug 10, 2023	SAINT LOUIS PARK, MN	Team lift out	RIA to RIA	100.0%

Relationships

Controls (2)

← L••••• J•••••••• W••••OwnerCHIEF COMPLIANCE OFFICER, PRESIDENT, ownership code E, individual
Dec 9, 2011 to presentfactForm ADV
← B••••• O•••• C••••••OwnerVICE PRESIDENT, ownership code B, individual
Dec 9, 2011 to presentfactForm ADV

Registered with (4)

← J••••••• W•••• L••••Advisorregistration: previous registration
Mar 16, 2015 to Nov 10, 2023factForm ADV
← O••• C•••••• B••••

Dated events

Occurred
Nov 10, 2023
Team lift-out
••• Locked
Form ADVobserved 7 days ago
2 advisors
Occurred
Nov 10, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Nov 10, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5082fbee-8fe8-b221-d4a8-1400083f0699
First observed: Dec 9, 2011
Last observed: Mar 14, 2023 42 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.