DFX Intelligence

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

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

B••• R••• A••••••• I••

CRD 109488

WAYZATA, MN

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Search this name across graphsid dfx:ria:527527d6-2e13-4904-75fd-49c420990037

Data as of Mar 26, 2015 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Mar 26, 2015
6 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: $1.2B••• Locked
Discretionary RAUM: $1.2B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 12
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
B••• R••• E••••••• M•••••• F•••• L•••	Hedge Fund	$18.5M	Aug 12, 2013	3	Mar 30, 2012	dropped	021-115422

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••••• R•••••• J•••	CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER	Na	yes	07/2011	Mar 30, 2012	Mar 26, 2015
F••••••••• R•••••• W•••••	Principal	D	yes	12/1989	Mar 30, 2012	Mar 26, 2015

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
B••• R••• A•••••••• L••	n/a	n/a	n/a	Y	yes	n/a
B••• R••• G••••• P•••••••• I•••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Mar 26, 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	$1.2B	$669M	83.9%	$773M	16.8%	12	12	n/a	n/a

Relationships

Controls (5)

← F••••••••• R•••••• W•••••OwnerPRINCIPAL, ownership code D, individual
Mar 30, 2012 to presentfactForm ADV
← S••••• M•••• F••••••••OwnerPRINCIPAL, ownership code C, individual
Mar 30, 2012 to presentfactForm ADV
← K••••••• A•••••• M•••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← B•••••••• R•••••• J•••OwnerCHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER, ownership code NA, individual
Mar 30, 2012 to present

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:527527d6-2e13-4904-75fd-49c420990037
First observed: Mar 30, 2012
Last observed: Mar 26, 2015 139 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.