DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1bsuccession filed

M•••••••• A•••• M•••••••••

M•••••••• A•••• M•••••••••, LLC, CRD 104833

MINNEAPOLIS, MN

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Search this name across graphsid dfx:ria:589fcb76-714e-1639-7fdb-88f8ac31ac71

Data as of Nov 19, 2015 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 1
On other graphs: 0
Observed: Mar 16, 2012 to Nov 19, 2015
12 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: $738M••• Locked
Discretionary RAUM: $723M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 10
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••• D•••• H•••••	Director	Na	yes	05/2015	Jun 26, 2015	Nov 19, 2015
B••••••••• J•••• C•••••••	CHAIRMAN, CHIEF EXECUTIVE OFFICER & CHIEF INVESTMENT OFFICER	Na	yes	01/2009	Mar 16, 2012	Nov 19, 2015

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
U•• F•••••••• C•••••••••	n/a	n/a	n/a	Y	yes	Mo

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Mar 27, 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	$738M	$778M	-5.1%	$687M	2.4%	10	10	n/a	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
M•••••••• W••••• M•••••••••	2	Feb 5, 2016	Jan 1, 2026	MINNEAPOLIS, MN	Team lift out	Other	100.0%

Relationships

Controls (9)

← R••••••••• R•••••• J••OwnerMANAGING DIRECTOR - CLIENT SERVICE & TRUST SERVICES, ownership code NA, individual
Mar 16, 2012 to presentfactForm ADV
← G••••••••• J•••• K••••••OwnerMANAGING DIRECTOR - CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 16, 2012 to presentfactForm ADV
← V••••••• C••••••••• M•••••OwnerMANAGING DIRECTOR - INVESTMENTS & TRADING, ownership code NA, individual
Mar 16, 2012 to presentfactForm ADV
← D••••••••• M••••••• J•••••OwnerDIRECTOR, ELECTED MANAGER, ownership code NA, individual

Dated events

Occurred
Nov 19, 2015
Succession filed (Item 4)
M•••••••• A•••• M••••••••• 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:589fcb76-714e-1639-7fdb-88f8ac31ac71
First observed: Mar 16, 2012
Last observed: Nov 19, 2015 132 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.