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CRD 161261
BLOOMINGTON, 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 |
|---|---|---|---|---|---|---|
| J•••• S•••••• K•••• | Certified Financial Planner | BLOOMINGTON, MN | 12 | 23 | n/a | no |
| T•••• L•• R•••• | Chartered Financial Analyst | BLOOMINGTON, MN | 11 | 19 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| K••••• J••••• S•••••• | PRESIDENT/CEO/SECRETARY/TREASURER/SHAREHOLDER/CHIEF COMPLIANCE OFFICER | E | yes | 01/2012 | Mar 7, 2018 | Feb 7, 2024 |
| R••••• T••••• L•• | PARTNER/CHIEF INVESTMENT OFFICER | A | no | 03/2019 | Mar 14, 2020 | Feb 7, 2024 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 3 | 1 | 2 | 8.3% | 0 | 0 | 0 | 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 | $564M | $316M | 78.3% | $208M | 39.5% | 15 | 6 | 1 | 0 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| S•••••••• W••••• G•••• | 2 | May 28, 2025 | Jun 12, 2025 | EDEN PRAIRIE, MN | Team lift out | RIA to RIA | 8.3% |
| no |
| S••••• A•••••••• J•••••• | Certified Financial Planner|Chartered Financial Consultant | BLOOMINGTON, MN | 3 | 12 | 1 | no |
| A••••• G•••• K•••••• | Certified Financial Planner | BLOOMINGTON, MN | 3 | 12 | 2 | no |
| S•••••••• K•• S•••• | Certified Financial Planner | BLOOMINGTON, MN | 1 | 10 | 2 | no |
| G•••• M• S•••••••• | Certified Financial Planner | BLOOMINGTON, MN | 1 | 30 | 3 | no |
| C••••••••• D••••• M••••• | n/a | BLOOMINGTON, MN | Arden Hills, MN | 1 | 15 | 1 | no |
| T••••• C• S••• | Certified Financial Planner | BLOOMINGTON, MN | 0 | 10 | 5 | no |
| R•••••• W••••• S••••••• | n/a | BLOOMINGTON, MN | 0 | 11 | n/a | no |
| H•••• K•••• | Certified Financial Planner | BLOOMINGTON, MN | 0 | 16 | 3 | no |
| S•••• P•••••• V•• W••••• | n/a | BLOOMINGTON, MN | 0 | 22 | n/a | no |
| D••••• S••••• | n/a | BLOOMINGTON, MN | 0 | 24 | 1 | no |
| $564M |
| $424M |
| 15 |
| 9 |
| 1 |
| n/a |
| n/a |
| 2024 | Feb 27, 2025 | $316M | $228M | 6 | 5 | 0 | n/a | n/a |
| 2023 | Feb 7, 2024 | $259M | $190M | 5 | 4 | 0 | n/a | n/a |
| 2022 | Mar 7, 2023 | $208M | $156M | 4 | 2 | 0 | n/a | n/a |
| 2021 | Feb 2, 2022 | $211M | $168M | 5 | 3 | 0 | n/a | n/a |
| 2020 | Mar 11, 2021 | $186M | $137M | 5 | 3 | 0 | n/a | n/a |
| 2019 | Mar 14, 2020 | $146M | $121M | 7 | 4 | 0 | n/a | n/a |
| 2018 | Mar 11, 2019 | $128M | $104M | 6 | 3 | 0 | n/a | n/a |