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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

FINANCIAL PERSPECTIVES

FINANCIAL PERSPECTIVES, INC., CRD 135549

MINNEAPOLIS, 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:7d0769a6-d6c9-50ff-a84a-0e38cb2618d0

Data as of Mar 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:27 PM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 3
On other graphs: 0
Observed: May 20, 2015 to Mar 25, 2026
32 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=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=11.0
Regulatory AUM: $1.2BItem 5.F on the latest filing (2026-03-25); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.2B
Private client RAUM: $1.2BderivedItem 5.D individuals plus high net worth individuals
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 14
RAUM per advisor: $83.4Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 14
Advisory employees: 14
Offices: 3Schedule D 1.F, beyond the principal office
Accounts: 1,852
Individual clients: 425
High net worth clients: 309
Custody, client assets: $186M
SEC number: 801-97343
CIK: 2003287
CRD: 135549
Filings on the tape: 32
First filed: May 20, 2015
Latest filed: Mar 25, 2026
Organised: Corporation, MN
Website: fpwealth.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
STEVEN HOWARD LOHEIT	n/a	MINNEAPOLIS, MN	12	28	n/a	yes
DANIEL JAMES DUGAN	n/a	MINNEAPOLIS, MN	12	32	n/a	yes
NICOLE LYNN WILKEN	n/a	MINNEAPOLIS, MN	12	27	n/a	yes
DAVID WILLIAM DUGAN	Certified Financial Planner	MINNEAPOLIS, MN \| Sioux Falls, SD	12	23	n/a	yes
LISA KAY JOHNSON	n/a	MINNEAPOLIS, MN	12	22	n/a	yes
MARRISSA SUE SVENNINGSEN	n/a	MINNEAPOLIS, MN	12	27	n/a	yes
JENNIFER MARIE LACHINSKI	n/a	MINNEAPOLIS, MN	12	20	n/a	yes
Austin W Mandelkow	Certified Financial Planner	MINNEAPOLIS, MN	7	10	n/a	no
JUSTIN J MARVIN	Certified Financial Planner	MINNEAPOLIS, MN	7	11	1	yes
Allison Lezette Dugan	Certified Financial Planner	MINNEAPOLIS, MN	7	11	n/a	no
Cayden Andrew Saxon	n/a	MINNEAPOLIS, MN	2	11	n/a	no
MATTHEW STEVEN JOHNSON	n/a	MINNEAPOLIS, MN	0	23	n/a	yes
LUKE MICHAEL DUGAN	n/a	MINNEAPOLIS, MN	0	20	n/a	yes
Olivia Nicole Drey	n/a	MINNEAPOLIS, MN	0	10	1	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
DUGAN, DANIEL, JAMES	CHIEF EXECUTIVE OFFICER	E	yes	04/2005	Mar 25, 2026	Mar 25, 2026
DUGAN, DAVID, WILLIAM	VICE PRESIDENT/SECRETARY/TREASURER	Na	yes	04/2005	Mar 25, 2026	Mar 25, 2026
WILKEN, NICOLE, LYNN	CHIEF COMPLIANCE OFFICER	Na	yes	04/2010	Mar 25, 2026	Mar 25, 2026
DUGAN, LUKE, MICHAEL	PRESIDENT & CHIEF OPERATING OFFICER	Na	no	03/2025	Mar 25, 2026	Mar 25, 2026

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
FP TAX & ACCOUNTING, LLC	n/a	n/a	n/a	N	no	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	yes

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 25, 2026	$1.2B	$1.2B	14	14	3	n/a	n/a
2024	Mar 20, 2025	$1.0B	$999M	14	14	3	n/a	n/a
2023	Mar 20, 2024	$865M	$864M	13	13	2	n/a	n/a
2022	Mar 29, 2023	$744M	$737M	13	13	1	n/a	n/a
2021	Mar 9, 2022	$768M	$760M	13	13	1	n/a	n/a
2020	Mar 11, 2021	$838M	$830M	12	12	1	n/a	n/a
2019	Mar 25, 2020	$585M	$571M	12	12	1	n/a	n/a
2018	Mar 25, 2019	$665M	$626M	10	10	1	n/a	n/a
2017	Mar 21, 2018	$632M	$620M	9	9	1	n/a	n/a
2016	Mar 21, 2017	$603M	$524M	9	9	n/a	n/a	n/a
2015	Mar 22, 2016	$546M	$385M	10	10	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	1	0	7.1%	1	0	0	1	1

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$1.2B	$1.0B	16.7%	$744M	16.2%	14	14	3	3

Relationships

Registered with (15)

← Olivia Nicole DreyAdvisorregistration: current employment
Jun 22, 2026 to presentfactForm ADV
← MATTHEW STEVEN JOHNSONAdvisorregistration: current employment
Jan 5, 2026 to presentfactForm ADV
← LUKE MICHAEL DUGANAdvisorregistration: current employment
Jan 5, 2026 to presentfactForm ADV
← Cayden Andrew SaxonAdvisorregistration: current employment
Jun 18, 2024 to presentfactForm ADV
← Allison Lezette DuganAdvisorregistration: current employment
Aug 14, 2019 to presentfactForm ADV
← JUSTIN J MARVINAdvisorregistration: current employment
Jul 2, 2019 to presentfactForm ADV
← Austin W MandelkowAdvisorregistration: current employment
Dec 5, 2018 to presentfactForm ADV
← JENNIFER MARIE LACHINSKIAdvisorregistration: current employment
Jul 22, 2014 to presentfactForm ADV
← MARRISSA SUE SVENNINGSENAdvisorregistration: current employment
Dec 18, 2013 to presentfactForm ADV
← STEVEN HOWARD LOHEITAdvisorregistration: current employment
Dec 9, 2013 to presentfactForm ADV
← DANIEL JAMES DUGANAdvisorregistration: current employment
Dec 9, 2013 to presentfactForm ADV
← NICOLE LYNN WILKENAdvisorregistration: current employment
Dec 9, 2013 to presentfactForm ADV
← DAVID WILLIAM DUGANAdvisorregistration: current employment
Dec 9, 2013 to presentfactForm ADV
← LISA KAY JOHNSONAdvisorregistration: current employment
Dec 9, 2013 to presentfactForm ADV
← Zachary Keith BuesgensAdvisorregistration: previous registration
Aug 9, 2022 to Apr 21, 2026factForm ADV

Controls (3)

← DUGAN, DANIEL, JAMESOwnerPRESIDENT, ownership code E, individual
May 20, 2015 to Nov 21, 2024factForm ADV
← WILKEN, NICOLE, LYNNOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
May 20, 2015 to Nov 21, 2024factForm ADV
← DUGAN, DAVID, WILLIAMOwnerVICE PRESIDENT/SECRETARY/TREASURER, ownership code NA, individual
May 20, 2015 to Nov 21, 2024factForm ADV

Dated events

Occurred
Apr 21, 2026
Advisor changed firm
Zachary Keith Buesgens left Financial Perspectives for Wealth Enhancement Advisory Services, Llc (registered 2026-05-12)
Form ADVobserved 5 days ago
Occurred
Mar 11, 2021
Regulatory AUM changed
Financial Perspectives reported RAUM $838.2M, up 43% from $585.0M (2020-07-27 to 2021-03-11)
Form ADVobserved 5 days ago
$253M
Occurred
May 20, 2015
First Form ADV filing
Financial Perspectives filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7d0769a6-d6c9-50ff-a84a-0e38cb2618d0
First observed: May 20, 2015
Last observed: Mar 25, 2026 5 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.

FINANCIAL PERSPECTIVES

FINANCIAL PERSPECTIVES, INC., CRD 135549

MINNEAPOLIS, 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:7d0769a6-d6c9-50ff-a84a-0e38cb2618d0

Data as of Mar 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:27 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

STEVEN HOWARD LOHEIT

n/a

MINNEAPOLIS, MN

n/a

yes

DANIEL JAMES DUGAN

n/a

MINNEAPOLIS, MN

n/a

yes

NICOLE LYNN WILKEN

n/a

MINNEAPOLIS, MN

n/a

yes

DAVID WILLIAM DUGAN

Certified Financial Planner

MINNEAPOLIS, MN | Sioux Falls, SD

n/a

yes

LISA KAY JOHNSON

n/a

MINNEAPOLIS, MN

n/a

yes

MARRISSA SUE SVENNINGSEN

n/a

MINNEAPOLIS, MN

n/a

yes

JENNIFER MARIE LACHINSKI

n/a

MINNEAPOLIS, MN

n/a

yes

Austin W Mandelkow

Certified Financial Planner

MINNEAPOLIS, MN

n/a

JUSTIN J MARVIN

Certified Financial Planner

MINNEAPOLIS, MN

yes

Allison Lezette Dugan

Certified Financial Planner

MINNEAPOLIS, MN

n/a

Cayden Andrew Saxon

n/a

MINNEAPOLIS, MN

n/a

MATTHEW STEVEN JOHNSON

n/a

MINNEAPOLIS, MN

n/a

yes

LUKE MICHAEL DUGAN

n/a

MINNEAPOLIS, MN

n/a

yes

Olivia Nicole Drey

n/a

MINNEAPOLIS, MN

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DUGAN, DANIEL, JAMES

CHIEF EXECUTIVE OFFICER

yes

04/2005

Mar 25, 2026

DUGAN, DAVID, WILLIAM

VICE PRESIDENT/SECRETARY/TREASURER

yes

04/2005

Mar 25, 2026

WILKEN, NICOLE, LYNN

CHIEF COMPLIANCE OFFICER

yes

04/2010

Mar 25, 2026

DUGAN, LUKE, MICHAEL

PRESIDENT & CHIEF OPERATING OFFICER

03/2025

Mar 25, 2026

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

FP TAX & ACCOUNTING, LLC

n/a

City

State

Country

Employees

Also broker-dealer

n/a

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 25, 2026

$1.2B

n/a

2024

Mar 20, 2025

$1.0B

$999M

n/a

2023

Mar 20, 2024

$865M

$864M

n/a

2022

Mar 29, 2023

$744M

$737M

n/a

2021

Mar 9, 2022

$768M

$760M

n/a

2020

Mar 11, 2021

$838M

$830M

n/a

2019

Mar 25, 2020

$585M

$571M

n/a

2018

Mar 25, 2019

$665M

$626M

n/a

2017

Mar 21, 2018

$632M

$620M

n/a

2016

Mar 21, 2017

$603M

$524M

n/a

2015

Mar 22, 2016

$546M

$385M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

7.1%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$1.2B

$1.0B

16.7%

$744M

16.2%