DFX Intelligence
Reading the graph
Reading the graph
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.
A••••••••• F••••••••• I•••, CRD 113074
MINNETONKA, 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 |
|---|---|---|---|---|---|---|
| P••• C•••••• S•••• | Certified Financial Planner | MINNETONKA, MN | Lino Lakes, MN | Minneapolis, MN | 13 | 34 | 2 | no |
| D•••• S•••• W••••••• | Certified Financial Planner | MINNETONKA, MN | MADISON, WI | 12 | 33 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| K••••••••• J••••• A•••••• | CEO & PRESIDENT & CHAIRMAN | Na | yes | 09/2021 | Mar 25, 2026 | Mar 25, 2026 |
| M••• D•••••• J••• | DIRECT OWNER | C | yes | 08/1999 | Mar 25, 2026 | Mar 25, 2026 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| A••••••••• F••••••••• I••• | n/a | n/a | n/a | Y | yes | n/a |
| D•••• S••••••• | n/a | n/a | n/a | Y | yes | n/a |
| J•••• M••••• | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| ARDEN HILLS | Mn | United States | 7 | no |
| Minneapolis | Mn | United States | 7 | no |
| Mokena | IL | United States | 5 | no |
| Minnetonka | Mn | United States | 5 | no |
| CLIFTON PARK | NY | United States |
| 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 |
|---|---|---|---|---|---|---|---|---|
| 4 | 24 | -20 | 41.4% | 1 | 3 | 0 | 12 | 48 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $3.1B | $2.3B | 34.6% | $2.6B | 7.1% | 131 | 114 | 37 | 36 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| S•••• | 2 | Jul 10, 2026 | Jul 7, 2026 | FORT COLLINS, CO | Team lift out | RIA to RIA | 3.3% |
| C••••• I••••••••• A••••••• L•• | 8 | Apr 1, 2026 | Jun 29, 2023 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| F••••••••• I••••••••• A••••••• L•• | 3 | Mar 3, 2025 | Feb 23, 2026 | MINNETONKA, MN | Team lift out | RIA to RIA | 1.4% |
| C••••• A•••••• N••••••• L•• | 6 | Jun 29, 2023 | Oct 26, 2022 |
| no |
| D•••• A••••• S••••••• | Certified Financial Planner|Chartered Financial Consultant | MINNETONKA, MN | Golden Valley, MN | 12 | 41 | 1 | no |
| J••••• P••• N••••• | Certified Financial Planner | Minneapolis, MN | MINNETONKA, MN | 12 | 23 | 1 | no |
| J••• R••••• J••• | n/a | MINNETONKA, MN | RAPID CITY, SD | Lakewood, CO | 8 | 14 | 2 | no |
| J•••• S•••• P•••• | n/a | MINNETONKA, MN | Lakewood, CO | ORLANDO, FL | 8 | 12 | 1 | no |
| S••• P•••••• B•••••• | n/a | MINNETONKA, MN | MINNEAPOLIS, MN | 7 | 12 | 2 | no |
| S••••• A•••• M•••• | n/a | MINNETONKA, MN | RAPID CITY, SD | 7 | 11 | 1 | yes |
| G••••• C••••• M••••• | n/a | MOKENA, IL | MINNETONKA, MN | 7 | 18 | 1 | yes |
| R••• C•••••• G•••••••• | n/a | MINNETONKA, MN | MOKENA, IL | 7 | 20 | 5 | yes |
| T•••••• C••••• M••••• | Certified Financial Planner | MINNETONKA, MN | MOKENA, IL | 7 | 45 | 1 | yes |
| W•••••• W••• | Chartered Financial Analyst | Mokena, IL | MINNETONKA, MN | 6 | 10 | n/a | yes |
| R••• J•• K••••••••• | Certified Financial Planner | Fitchburg, WI | MINNETONKA, MN | 4 | 18 | 2 | no |
| Z•••••• B•••• M••••• | Certified Financial Planner|Chartered Financial Analyst | MINNETONKA, MN | Mokena, IL | 4 | 11 | n/a | yes |
| D••••• M•••••• B••••••• | n/a | MINNETONKA, MN | RAPID CITY, SD | 3 | 17 | 1 | yes |
| A•••••• R•••••• R••••• | n/a | MINNETONKA, MN | Eugene, OR | 3 | 19 | 5 | no |
| D•••• T••• M•••••• M••••••• | n/a | MINNETONKA, MN | Minneapolis, MN | 2 | 11 | 1 | no |
| J••••• P•••••• G•••••• | Certified Financial Planner | MINNETONKA, MN | Bayport, MN | 2 | 18 | 3 | no |
| B•••••• T••••• F••••••••• | n/a | MINNETONKA, MN | Omaha, NE | 1 | 13 | 4 | yes |
| V••••••• M••• M••••• | n/a | MINNETONKA, MN | Frederick, MD | 1 | 29 | 1 | no |
| K•••• D••• H•••• | n/a | MINNETONKA, MN | San Luis Obispo, CA | 1 | 30 | 5 | no |
| T••••• J•••• S•••••• | Certified Financial Planner | MINNETONKA, MN | 1 | 20 | 4 | no |
| P••••• T••••• B••• | n/a | MINNETONKA, MN | 1 | 11 | 3 | no |
| J••••••••• A•• F•••••• | n/a | MINNETONKA, MN | 1 | 11 | 1 | no |
| E••• D••••• H••• | Certified Financial Planner | MINNETONKA, MN | MINNEAPOLIS, MN | 1 | 10 | n/a | no |
| COO / DIRECTOR |
| Na |
| yes |
| 11/2021 |
| Mar 29, 2022 |
| Dec 16, 2024 |
| C••••••• S•••••• A••• | VP, CCO | Na | no | 06/2025 | Mar 25, 2026 | Mar 25, 2026 |
| P••••• J••••• S•••• | DIRECT OWNER | A | no | 01/2025 | Mar 25, 2026 | Mar 25, 2026 |
| C••••• E•••• A••••• | SVP, CCO | Na | no | 07/2022 | Feb 10, 2020 | Dec 16, 2024 |
| n/a |
| Y |
| yes |
| n/a |
| J•••• P•••• | n/a | n/a | n/a | Y | yes | n/a |
| J••• R• J••• | n/a | n/a | n/a | Y | yes | n/a |
| J••••• W••••••••• | n/a | n/a | n/a | Y | yes | n/a |
| R••••• H•••••• | n/a | n/a | n/a | Y | yes | n/a |
| no |
| Bloomington | Mn | United States | 4 | no |
| Exton | Pa | United States | 4 | no |
| Indianapolis | In | United States | 3 | no |
| Edina | Mn | United States | 3 | no |
| Edina | Mn | United States | 3 | no |
| Minneapolis | Mn | United States | 3 | no |
| Wayzata | Mn | United States | 3 | no |
| Greensboro | Nc | United States | 3 | no |
| FORT COLLINS | Co | United States | 2 | no |
| Lakewood | Co | United States | 2 | no |
| LAKE ELMO | Mn | United States | 2 | no |
| Shoreview | Mn | United States | 2 | no |
| RAPID CITY | Sd | United States | 2 | no |
| Madison | Wi | United States | 2 | no |
| ST. PETER | Mn | United States | 1 | no |
| Eugene | Or | United States | 1 | no |
| n/a | n/a | n/a | 1 | no |
| Mar 25, 2026 |
| $3.1B |
| $3.1B |
| 131 |
| 68 |
| 37 |
| n/a |
| n/a |
| 2024 | Mar 18, 2025 | $2.3B | $2.3B | 114 | 74 | 36 | n/a | n/a |
| 2023 | Mar 27, 2024 | $2.3B | $2.3B | 120 | 85 | 42 | n/a | n/a |
| 2022 | Mar 28, 2023 | $2.6B | $2.6B | 123 | 102 | 49 | n/a | n/a |
| 2021 | Mar 29, 2022 | $3.9B | $3.9B | 139 | 131 | 46 | n/a | n/a |
| 2020 | Mar 31, 2021 | $3.6B | $3.5B | 142 | 122 | 38 | n/a | n/a |
| 2019 | May 13, 2020 | $3.4B | $3.4B | 164 | 134 | 38 | n/a | n/a |
| 2018 | Mar 29, 2019 | $2.0B | $2.0B | 135 | 120 | 30 | n/a | n/a |
| 2017 | Mar 30, 2018 | $1.3B | $1.3B | 135 | 90 | 30 | n/a | n/a |
| 2016 | Mar 31, 2017 | $973M | $956M | 130 | 90 | n/a | n/a | n/a |
| 2015 | Mar 31, 2016 | $608M | $591M | 100 | 80 | n/a | n/a | n/a |
| 2014 | Mar 30, 2015 | $486M | $459M | 100 | 73 | n/a | n/a | n/a |
| 2013 | Mar 28, 2014 | $490M | $463M | 100 | 72 | n/a | n/a | n/a |
| 2012 | Mar 28, 2013 | $313M | $306M | 100 | 65 | n/a | n/a | n/a |
| BLAINE, MN |
| Team lift out |
| RIA to ibd |
| 11.4% |
| C••••• I••••••••• A••••••• L•• | 2 | Dec 19, 2025 | Jun 29, 2023 | WAYZATA, MN | Team lift out | RIA to ibd | 2.9% |
| C••••• I••••••••• A••••••• L•• | 2 | Dec 4, 2025 | Jun 29, 2023 | MINNETONKA, MN | Team lift out | RIA to ibd | 2.8% |
| C••••• I••••••••• A••••••• L•• | 5 | Nov 11, 2025 | Jun 29, 2023 | MINNETONKA, MN | Team lift out | RIA to ibd | 6.7% |
| L••••••• W••••• A•••••••• I••• | 6 | Oct 17, 2024 | Oct 1, 2024 | ARDEN HILLS, MN | Team lift out | RIA to new firm | 7.8% |
| C••••• I••••••••• A••••••• L•• | 2 | Feb 1, 2024 | Jun 29, 2023 | ST P•••, MN | Team lift out | RIA to ibd | 2.5% |
| F•••••• F•••••••• P••••••• L•• | 3 | Jan 16, 2024 | Nov 20, 2023 | MINNETONKA, MN | Team lift out | RIA to RIA | 3.6% |
| D••••• • C••••• F•••••••• A••••••• | 3 | Oct 3, 2023 | Oct 11, 2022 | MINNETONKA, MN | Team lift out | RIA to RIA | 3.4% |
| P••••••••• • A• E••••••••• C•••••• | 3 | Aug 24, 2023 | Aug 30, 2023 | MINNETONKA, MN | Team lift out | RIA to RIA | 3.4% |
| G•••• W••••• F•••••••• | 21 | Apr 28, 2022 | Apr 14, 2022 | MINNEAPOLIS, MN | Team lift out | RIA to new firm | 19.4% |
| W••• F•••••••• G•••• | 3 | Dec 31, 2021 | Sep 20, 2021 | MENDOTA HEIGHTS, MN | Team lift out | RIA to RIA | 2.6% |
| S••••• T•••• A••••••• S••••••• | 3 | Aug 6, 2021 | Jun 21, 2021 | MINNETONKA, MN | Team lift out | RIA to new firm | 2.8% |
| O•••• W•••••• I••• | 4 | May 14, 2021 | May 17, 2021 | MINNETONKA, MN | Team lift out | RIA to ibd | 3.7% |
| F••••••••• I••••••••• A••••••• L•• | 2 | Dec 7, 2020 | Dec 15, 2020 | MINNEAPOLIS, MN | Team lift out | RIA to RIA | 1.9% |
| O•••• W•••••• I••• | 3 | Nov 12, 2020 | Jan 17, 2025 | MINNETONKA, MN | Team lift out | RIA to ibd | 2.8% |
| P••• G•••• F•••••••• G•••• | 3 | Oct 2, 2020 | Oct 1, 2020 | MINNETONKA, MN | Team lift out | RIA to RIA | 2.7% |
| P••• G•••• F•••••••• G•••• | 3 | Jul 24, 2020 | Jun 5, 2020 | MINNETONKA, MN | Team lift out | RIA to new firm | 2.8% |
| L•• F•••••••• L•• | 3 | Dec 4, 2019 | Dec 10, 2019 | MINNETONKA, MN | Team lift out | RIA to ibd | 2.7% |
| C••••• I••••••••• A••••••• L•• | 2 | Sep 9, 2019 | Jun 29, 2023 | MINNETONKA, MN | Team lift out | RIA to ibd | 1.8% |
| LAKE ELMO, MN |
| Team lift out |
| Ibd to RIA |
| 1.6% |
| C••••• A•••••• N••••••• L•• | 2 | Jun 29, 2023 | Apr 7, 2021 | LOUDONVILLE, NY | Team lift out | Ibd to RIA | 0.5% |
| C••••• A•••••• N••••••• L•• | 2 | Sep 29, 2022 | May 23, 2019 | MINNETONKA, MN | Team lift out | Ibd to RIA | 0.4% |
| A••••••• W••••• M••••••••• G••••• I••• | 2 | Nov 23, 2021 | Dec 22, 2021 | MINNEAPOLIS, MN | Team lift out | Other | 100.0% |
| O•••• F•• I••• | 3 | Jul 27, 2021 | Dec 1, 2022 | EXTON, PA | Team lift out | Ibd to RIA | 0.3% |
| C••••• A•••••• N••••••• L•• | 2 | May 14, 2021 | Jun 26, 2017 | MINNETONKA, MN | Team lift out | Ibd to RIA | 0.5% |
| C••••• A•••••• N••••••• L•• | 2 | Nov 11, 2020 | Oct 5, 2017 | MINNETONKA, MN | Team lift out | Ibd to RIA | 0.5% |
| C••••• A•••••• N••••••• L•• | 3 | Oct 7, 2020 | Aug 7, 2020 | MINNEAPOLIS, MN | Team lift out | Ibd to RIA | 0.8% |
| C••••• A•••••• N••••••• L•• | 7 | Sep 3, 2020 | Sep 11, 2020 | MINNETONKA, MN | Team lift out | Ibd to RIA | 1.7% |
| C••••• A•••••• N••••••• L•• | 2 | Dec 31, 2019 | Jan 29, 2014 | MINNETONKA, MN | Team lift out | Ibd to RIA | 0.5% |
| C••••• A•••••• N••••••• L•• | 3 | Dec 3, 2019 | May 17, 2018 | MINNEAPOLIS, MN | Team lift out | Ibd to RIA | 0.7% |
| M••••• • A••••••••• I•• | 3 | Aug 2, 2019 | Jun 17, 2019 | MOKENA, IL | Firm absorbed | RIA to RIA | 100.0% |
| C••••• A•••••• N••••••• L•• | 2 | Dec 31, 2018 | Nov 21, 2016 | MINNETONKA, MN | Team lift out | Ibd to RIA | 0.4% |
| C••••• A•••••• N••••••• L•• | 2 | Oct 12, 2018 | Jan 29, 2014 | WHITE BEAR LAKE, MN | Team lift out | Ibd to RIA | 0.4% |
| F•••••••• S••••••• M••••••••• I•• | 2 | May 30, 2018 | Jun 11, 2018 | LAKEWOOD, CO | Team lift out | RIA to RIA | 33.3% |
| R•••••• J•••• • A••••••••• I••• | 3 | Jan 31, 2018 | Jan 11, 2018 | EDINA, MN | Team lift out | Other | 0.1% |
| J•• F•••••••• A•••••••• I••• | 2 | Feb 15, 2017 | Apr 18, 2017 | MAPLE G••••, MN | Team lift out | Other | 28.6% |
| C••••• A•••••• N••••••• L•• | 3 | Jul 12, 2016 | Jan 29, 2014 | MINNETONKA, MN | Team lift out | Other | 0.6% |
| C••••• A•••••• N••••••• L•• | 2 | Dec 28, 2015 | Jan 29, 2014 | HUGO, MN | Team lift out | Other | 0.4% |