DFX Intelligence

G•••• R•••• F••••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

G•••• R•••• F••••••••

G•••• R•••• F•••••••• LLC, CRD 314172

PLYMOUTH, MN

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Search this name across graphsid dfx:ria:799c3cb0-9bf6-e583-9c59-0500fd152b72

Data as of Sep 8, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 3
On other graphs: 0
Observed: May 24, 2021 to Sep 8, 2026
18 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: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0
Regulatory AUM: $202M••• Locked
Discretionary RAUM: $202M
Private client RAUM: $202Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $67.3Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J••••• L•• W••••••	Certified Financial Planner	PLYMOUTH, MN	5	19	5	no
A••••• L••• R•••••	Certified Financial Planner	PLYMOUTH, MN	0	15	9

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H••••••• K•••••••• M••••••	CHIEF COMPLIANCE OFFICER	Na	yes	12/2022	Sep 5, 2023	Aug 29, 2024
W••••••• J•••••• L••	President	E	yes	04/2021	May 24, 2021	Aug 29, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Feb 11, 2026

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	0	1	0.0%	1	0	0	1	1

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	$202M	$162M	24.6%	$120M	19.0%	5	4	0	0

Relationships

Registered with (3)

← A••••• L••• R•••••Advisorregistration: previous registration
Jul 10, 2023 to Sep 1, 2025factForm ADV
← C•••••• L• F•••••••Advisorregistration: current employment
Sep 8, 2026 to presentfactForm ADV
← J••••• L•• W••••••Advisorregistration: current employment
Jul 9, 2021 to presentfactForm ADV

Controls (2)

Dated events

Occurred
Sep 1, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Sep 5, 2023
Control person joined
••• Locked
Form ADVobserved 7 days ago
Occurred
May 24, 2021
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:799c3cb0-9bf6-e583-9c59-0500fd152b72
First observed: May 24, 2021
Last observed: Sep 8, 2026 14 days 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.