DFX Intelligence

W••• O•••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

W••• O•••••••• I•••

CRD 143430

PLYMOUTH, MN

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Search this name across graphsid dfx:ria:85e638d9-20c5-7d99-8e62-f66ff85c7b83

Data as of Mar 17, 2023 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 5
On other graphs: 0
Observed: Mar 6, 2012 to Mar 17, 2023
16 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: $173M••• Locked
Discretionary RAUM: $167M
Private client RAUM: $166Mderived••• Locked
Private client share: 96%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L•••••• J••••• L••	VICE-PRESIDENT	Na	yes	06/2003	Mar 6, 2012	Mar 17, 2023
L•••••• M•••• D•••••	PRESIDENT/SECRETARY/TREASURER/CHIEF COMPLIANCE OFFICER	E	yes	06/2003	Mar 6, 2012	Mar 17, 2023

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2022	Mar 17, 2023

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2022	$173M	$185M	-6.5%	$151M	4.6%	3	8	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
I••••• F••••••••	2	Oct 6, 2023	Oct 9, 2023	PLYMOUTH, MN	Team lift out	RIA to RIA	100.0%

Relationships

Controls (2)

← L•••••• M•••• D•••••OwnerPRESIDENT/SECRETARY/TREASURER/CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 6, 2012 to presentfactForm ADV
← L•••••• J••••• L••OwnerVICE-PRESIDENT, ownership code NA, individual
Mar 6, 2012 to presentfactForm ADV

Moved with (1)

→ I••••• F••••••••Registered adviser2 advisors, team lift out, same day
Oct 6, 2023 to Oct 9, 2023factForm ADV

Registered with (4)

Dated events

Occurred
Oct 6, 2023
Team lift-out
••• Locked
Form ADVobserved 8 days ago
2 advisors
Occurred
Oct 6, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Oct 6, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Feb 24, 2021
Control person left

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:85e638d9-20c5-7d99-8e62-f66ff85c7b83
First observed: Mar 6, 2012
Last observed: Mar 17, 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.