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CRD 8408
MINOT, ND
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.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| C•••••• F•••••••• H•••••••• I••• | Owner | E | yes | 01/2002 | Mar 30, 2012 | Aug 15, 2019 |
| C••••••••• J••••• M•••• | Treasurer | Na | yes | 08/2019 | Aug 15, 2019 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Boise | Id | United States | 4 | yes |
| DETROIT LAKES | Mn | United States | 2 | yes |
| Elkhorn | Wi | United States | 2 | yes |
| Boulder | Co | United States | 1 | yes |
| Clearwater | FL |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2018 | $213M | $220M | -3.3% | $142M | 14.4% | 81 | 92 | 47 | 49 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| C••••• • A••••••••• I••• | 2 | Jul 26, 2019 | Jul 30, 2019 | BROOKFIELD, WI | Team lift out | RIA to RIA | 13.3% |
| C••••• • A••••••••• I••• | 2 | Jul 1, 2019 |
| K•••••••• E••••• D• | Finop | Na | yes | 08/2019 | May 31, 2017 | Aug 15, 2019 |
| P••••••• D••••• R••••• | President | Na | yes | 08/2019 | May 31, 2017 | Aug 15, 2019 |
| 1 |
| yes |
| Tampa | FL | United States | 1 | yes |
| Fallston | Md | United States | 1 | yes |
| Stanley | Nd | United States | 1 | yes |
| Cleveland | Oh | United States | 1 | yes |
| Eugene | Or | United States | 1 | yes |
| Mitchell | Sd | United States | 1 | yes |
| SIOUX FALLS | Sd | United States | 1 | yes |
| Dallas | TX | United States | 1 | yes |
| Othello | Wa | United States | 1 | yes |
| FORT ATKINSON | Wi | United States | 1 | yes |
| n/a | n/a | n/a | 1 | yes |
| n/a | n/a | n/a | 1 | yes |
| n/a | n/a | n/a | 1 | yes |
| n/a | n/a | n/a | 1 | yes |
| n/a | n/a | n/a | 1 | yes |
| n/a | n/a | n/a | 1 | yes |
| n/a | n/a | n/a | 1 | yes |
| n/a | n/a | n/a | 1 | yes |
| n/a | n/a | n/a | 1 | yes |
| n/a | n/a | n/a | 1 | yes |
| 2018 |
| Mar 28, 2019 |
| $213M |
| $212M |
| 81 |
| 54 |
| 47 |
| n/a |
| n/a |
| 2017 | Mar 28, 2018 | $220M | $219M | 92 | 54 | 49 | n/a | n/a |
| 2016 | Mar 30, 2017 | $174M | $167M | 8 | 7 | n/a | n/a | n/a |
| 2015 | Mar 29, 2016 | $142M | $136M | 8 | 7 | n/a | n/a | n/a |
| 2014 | Mar 27, 2015 | $141M | $134M | 8 | 7 | n/a | n/a | n/a |
| 2013 | Mar 28, 2014 | $135M | $130M | 9 | 6 | n/a | n/a | n/a |
| 2012 | Mar 27, 2013 | $123M | $95.5M | 9 | 6 | n/a | n/a | n/a |
| 2011 | Mar 30, 2012 | $132M | $104M | n/a | n/a | n/a | n/a | n/a |
| Jul 17, 2019 |
| MILLER, SD |
| Team lift out |
| RIA to RIA |
| 6.5% |
| C••••• • A••••••••• I••• | 10 | Jun 28, 2019 | Jan 9, 2026 | MINOT, ND | Team lift out | RIA to RIA | 31.3% |
| C••••• • A••••••••• I••• | 2 | May 3, 2019 | May 20, 2019 | MINOT, ND | Team lift out | RIA to RIA | 4.8% |
| F•• S••••••••• C••••••••• | 2 | Apr 18, 2019 | Apr 22, 2019 | MOORE, OK | Team lift out | RIA to ibd | 4.0% |
| L•• F•••••••• L•• | 2 | Jan 24, 2017 | Jan 24, 2017 | FRESNO, CA | Team lift out | Other | 4.1% |