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CRD 147384
MINNEAPOLIS, MN
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| J••••• W•••••• S•••••• | Chartered Financial Analyst | MINNEAPOLIS, MN | 18 | 31 | n/a | no |
| S•••••• J••• D•••• | Certified Financial Planner | MINNEAPOLIS, MN | 16 | 26 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| D••••• S••••••• J••• | MANAGING MEMBER | C | yes | 07/2008 | Mar 28, 2012 | Mar 25, 2024 |
| S••••••• J•••••• W•••••• | MANAGING MEMBER | C | yes | 07/2008 | Mar 28, 2012 | Mar 25, 2024 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 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 | 0 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $730M | $644M | 13.3% | $445M | 17.9% | 7 | 7 | 0 | 0 |
| no |
| B••••••• J•••••• W•••••• | Certified Financial Planner | MINNEAPOLIS, MN | 14 | 24 | n/a | no |
| P••• S••••• W••••• | n/a | MINNEAPOLIS, MN | 11 | 23 | 2 | no |
| D•••• H••••• S•••• | Certified Financial Planner | MINNEAPOLIS, MN | 7 | 15 | 5 | no |
| J•• M•••••• H•••• | Certified Financial Planner | MINNEAPOLIS, MN | 3 | 13 | n/a | no |
| E•••• M•••• N••• | n/a | MINNEAPOLIS, MN | Costa Mesa, CA | 1 | 11 | n/a | no |
| MANAGING MEMBER/CHIEF COMPLIANCE OFFICER |
| C |
| yes |
| 07/2008 |
| Mar 28, 2012 |
| Mar 25, 2024 |
| Mar 18, 2026 |
| $730M |
| $729M |
| 7 |
| 7 |
| 0 |
| n/a |
| n/a |
| 2024 | Apr 17, 2025 | $644M | $643M | 7 | 7 | 0 | n/a | n/a |
| 2023 | Mar 25, 2024 | $553M | $542M | 9 | 8 | 0 | n/a | n/a |
| 2022 | Mar 20, 2023 | $445M | $433M | 10 | 8 | 0 | n/a | n/a |
| 2021 | Mar 15, 2022 | $476M | $462M | 7 | 5 | 0 | n/a | n/a |
| 2020 | Mar 17, 2021 | $443M | $428M | 8 | 5 | 0 | n/a | n/a |
| 2019 | Mar 30, 2020 | $243M | $238M | 7 | 5 | 0 | n/a | n/a |
| 2018 | Mar 19, 2019 | $271M | $264M | 8 | 6 | 0 | n/a | n/a |
| 2017 | Mar 21, 2018 | $242M | $236M | 6 | 4 | 0 | n/a | n/a |
| 2016 | Mar 28, 2017 | $209M | $158M | 5 | 4 | n/a | n/a | n/a |
| 2015 | Mar 25, 2016 | $171M | $129M | 5 | 4 | n/a | n/a | n/a |
| 2014 | Mar 23, 2015 | $152M | $111M | 5 | 4 | n/a | n/a | n/a |
| 2013 | Mar 25, 2014 | $133M | $94.3M | 4 | 3 | n/a | n/a | n/a |
| 2012 | Mar 25, 2013 | $117M | $85.2M | 3 | 3 | n/a | n/a | n/a |
| 2011 | Mar 28, 2012 | $110M | $83.8M | n/a | n/a | n/a | n/a | n/a |