DFX Intelligence

B•••••• A•••••••• 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 adviserIndependent wealth managerSEC registeredRAUM 100m 1b

B•••••• A•••••••• L••

CRD 285991

WOODBURY, 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 graphs

Data as of Mar 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 20
Dated events: 7
On other graphs: 0
Observed: Jan 13, 2017 to Mar 26, 2026
21 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: independent wealth managerderivedprivate_client_share=0.97 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $674M••• Locked
Discretionary RAUM: $653M
Private client RAUM: $656Mderived••• Locked
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 6
RAUM per advisor: $112Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
S••••• A••••• S••••••	Certified Financial Planner\|Chartered Financial Consultant	St. Paul, MN \| WOODBURY, MN	9	33	1	no
R•••••• G••••• G••••••	Certified Financial Planner	WOODBURY, MN \| St. Paul, MN	9	32

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G•••••• • A••••••••• L••	MANAGING MEMBER	C	yes	01/2018	Oct 23, 2019	Feb 29, 2024
G••••••• R••••••• G•••••	PRINCIPAL AND CHIEF COMPLIANCE OFFICER	E	yes	01/2018	Feb 2, 2017	Feb 29, 2024

Affiliates (Item 7.A)

••• Locked

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

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
ST. P•••	Mn	United States	2	no
PUNTA GORDA	FL	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	1	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$674M	$588M	14.8%	$473M	12.5%	15	15	2	2

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
A••••••••• F•••••••• S•••••••• L••	2	Feb 7, 2017	Feb 2, 2017	PUNTA GORDA, FL	Team lift out	Ibd to new firm	0.0%
A••••••••• F•••••••• S•••••••• L••	4	Feb 3, 2017

Relationships

Registered with (9)

← N••• J••••••Advisorregistration: current employment
Nov 11, 2025 to presentfactForm ADV
← J•••• S•••••• H••••••Advisorregistration: current employment
Feb 7, 2025 to presentfactForm ADV
← S••••• A••••• S••••••Advisorregistration: current employment
Feb 2, 2017 to presentfactForm ADV
← R•••••• G••••• G••••••

Dated events

1 bookkeeping event (roster, classification and holdings changes) folded below

Occurred
Mar 26, 2026
Ria indirect owner change
••• Locked
Form ADVobserved today
Occurred
Mar 26, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Mar 26, 2026
Ria principal change
••• Locked
Form ADVobserved today

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 13, 2017
Last observed: Mar 26, 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.