DFX Intelligence

R••• A•••• S••••••••• 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 adviserformer SEC advisernot on rosterRAUM under $100M

R••• A•••• S••••••••• L••

CRD 304242

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:7580db6f-22fe-e2ef-42ac-b2f8463b7c4c

Data as of Mar 13, 2023 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:40 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Dec 17, 2020 to Mar 13, 2023
5 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: $36,484••• Locked
Discretionary RAUM: $36,484
Private client RAUM: $36,484derived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
P•••••••• W••••••• B••••••	OWNER, CHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER	E	yes	05/2019	Dec 17, 2020	Mar 13, 2023

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
ST. LOUIS PARK	Mn	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021	Mar 31, 2022	$34,930	$34,930	2	2	1	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2021	$36,484	n/a	n/a	n/a	n/a	2	n/a	1	n/a

Relationships

Controls (1)

← P•••••••• W••••••• B••••••OwnerOWNER, CHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER, ownership code E, individual
Dec 17, 2020 to presentfactForm ADV

Registered with (1)

← M•••••• J•••• A•••••Advisorregistration: previous registration
Dec 12, 2019 to Feb 23, 2021factForm ADV

Dated events

Occurred
Dec 17, 2020
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7580db6f-22fe-e2ef-42ac-b2f8463b7c4c
First observed: Dec 17, 2020
Last observed: Mar 13, 2023 42 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.