DFX Intelligence

B•••••••• W••••• M••••••••• L••: 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•••••••• W••••• M••••••••• L••

CRD 143038

BLOOMINGTON, 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:6e7337d9-90f4-2f06-d673-3b1169309585

Data as of Aug 8, 2022 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 38
Dated events: 28
On other graphs: 1
Observed: Nov 23, 2011 to Aug 8, 2022
47 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

B•••••••• W••••• M••••••••• L••

Investment consultant · shared crd

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: $2.1B••• Locked
Discretionary RAUM: $953M
Private client RAUM: $914Mderived••• Locked
Private client share: 44%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 33

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••••• L••	Owner	E	yes	01/2008	Sep 3, 2015	Aug 8, 2022
C•••••••• M••••••• A••••••••	SERVICE GROUP LEADER	Na	yes	05/2018	Aug 24, 2018	Aug 8, 2022

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
B••••••••• L••	n/a	n/a	n/a	Y	no	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
ST. CLOUD	Mn	United States	5	no
Waterloo	Ia	United States	2	no
Urbandale	Ia	United States	1	no
CEDAR RAPIDS	Ia	United States	0	no
Coralville	Ia	United States

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	$2.1B	$2.1B	-2.9%	$1.3B	17.9%	33	28	7	7

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C••••••• P•••••••	6	Sep 13, 2023	Jan 1, 2026	BLOOMINGTON, MN	Firm absorbed	RIA to RIA	60.0%
C••••••• P•••••••	5	Jul 17, 2023	Jul 20, 2023

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
H•••••••• I••••••••• I•••	2	Nov 28, 2017	May 13, 2016	WATERLOO, IA	Team lift out	Other	100.0%

Relationships

Controls (4)

← B••••••••• L••OwnerOWNER, ownership code E, domestic entity
Sep 3, 2015 to presentfactForm ADV
← S••••••• G••••••• J••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jul 2, 2014 to presentfactForm ADV
← H••••••••• D••••• H•OwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Nov 23, 2011 to presentfactForm ADV
← C•••••••• M••••••• A••••••••OwnerSERVICE GROUP LEADER, ownership code NA, individual
Aug 24, 2018 to presentfact

Dated events

Occurred
Sep 25, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Sep 25, 2023
Advisor departed, no destination yet
••• Locked
Form ADVobserved 7 days ago
Occurred
Sep 25, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Sep 25, 2023

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6e7337d9-90f4-2f06-d673-3b1169309585
First observed: Nov 23, 2011
Last observed: Aug 8, 2022 50 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.