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CRD 310523
WAYZATA, MN
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| D•••• J••• S••••••• | n/a | WAYZATA, MN | 5 | 18 | 1 | no |
| J•••• D•••• L••••••••• | Certified Financial Planner | WAYZATA, MN | 5 | 10 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| L••••••••• J••••• D•••• | DIRECTOR OF OPERATIONS | Na | yes | 10/2020 | Feb 11, 2021 | Oct 23, 2024 |
| M••••••• C••••••• Q•••• | DIRECTOR OF CLIENT RELATIONS | Na | yes | 11/2020 | Feb 16, 2021 | Oct 23, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| M••• 5•• D••••••••• L•• | n/a | n/a | n/a | N | no | n/a |
| P••• P•••••• C••••••• L•• | n/a | n/a | n/a | Y | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 12, 2026 |
| 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 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $326M | $267M | 22.1% | $172M | 23.8% | 3 | 3 | 0 | 0 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| R•• C•••••• M••••••• L•• | 2 | Oct 20, 2020 | Oct 8, 2020 | MINNETONKA, MN | Team lift out | Ibd to new firm | 0.1% |
| no |
| MANAGING MEMBER / PRINCIPAL AND CHIEF COMPLIANCE OFFICER |
| E |
| yes |
| 09/2020 |
| Oct 8, 2020 |
| Oct 23, 2024 |
| $326M |
| $326M |
| 3 |
| 2 |
| 0 |
| n/a |
| n/a |
| 2024 | Feb 21, 2025 | $267M | $267M | 3 | 2 | 0 | n/a | n/a |
| 2023 | Mar 14, 2024 | $241M | $241M | 3 | 2 | 0 | n/a | n/a |
| 2022 | Mar 6, 2023 | $172M | $172M | 3 | 2 | 0 | n/a | n/a |
| 2021 | Mar 1, 2022 | $184M | $184M | 3 | 2 | 0 | n/a | n/a |
| 2020 | Feb 11, 2021 | $110M | $110M | 3 | 2 | 0 | n/a | n/a |