DFX Intelligence

S••••• C•••• A•••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserother adviserSEC registeredRAUM 100m 1b

S••••• C•••• A•••••••

S••••• C•••• A•••••••, LLC, CRD 135496

MINNEAPOLIS, MN

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Search this name across graphsid dfx:ria:770219be-81a0-9c22-1c9f-f08ec3caf260

Data as of Mar 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 6
On other graphs: 0
Observed: Jan 25, 2012 to Mar 25, 2026
29 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: other adviserderivedprivate_client_share=0.05 fund_share=0.07 institutional_share=0.66 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $651M••• Locked
Discretionary RAUM: $651M
Private client RAUM: $33.8Mderived••• Locked
Private client share: 5%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $217Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
A••• N••••• B•••••	Chartered Financial Analyst	MINNEAPOLIS, MN	13	31	n/a	no
J••••• J••• D•••••	Chartered Financial Analyst	MINNEAPOLIS, MN	13	21

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••• A•••• N•••••	MANAGING PARTNER, PORTFOLIO MANAGER/ANALYST	C	yes	06/2005	Jan 25, 2012	Mar 28, 2024
D•••••• J•••••• J•••	MANAGING PARTNER, PORTFOLIO MANAGER/ANALYST	C	yes	06/2005	Jan 25, 2012	Mar 28, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

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

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	0	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	$651M	$790M	-17.6%	$754M	-4.8%	7	8	1	1

Relationships

Registered with (3)

← J••• D•••• C•••••••Advisorregistration: current employment
Mar 14, 2020 to presentfactForm ADV
← A••• N••••• B•••••Advisorregistration: current employment
May 6, 2013 to presentfactForm ADV
← J••••• J••• D•••••Advisorregistration: current employment
May 6, 2013 to presentfactForm ADV

Controls (3)

Dated events

Occurred
Mar 27, 2023
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-280M
Occurred
Mar 29, 2022
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$224M
Occurred
May 28, 2021
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Feb 17, 2021
Control person left

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:770219be-81a0-9c22-1c9f-f08ec3caf260
First observed: Jan 25, 2012
Last observed: Mar 25, 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.