DFX Intelligence

S••••••••• S••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM 1b 10b

S••••••••• S••••••••• L••

CRD 175009

MINNEAPOLIS, MN

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Search this name across graphs

Data as of Oct 13, 2023 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 3:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 34
Dated events: 32
On other graphs: 0
Observed: Feb 13, 2015 to Oct 13, 2023
43 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: $3.3B••• Locked
Discretionary RAUM: $3.2B
Private client RAUM: $630,137derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 130

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••••••• B••••• G•••••	CHIEF EXECUTIVE OFFICER/BOARD MEMBER	Na	yes	09/2021	Nov 11, 2021	Oct 13, 2023
L•• E••••• P••••••• I•• G• L••	GENERAL PARTNER	F	yes	12/2020	Nov 11, 2021	Oct 13, 2023

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
T•• A•••••••• I•••	n/a	Bd affiliated wealth	$2.3B	N	yes	n/a
L•••••• A•••• M••••••••• L••	n/a	Former SEC adviser	$311M	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Summit	Nj	United States	5	yes

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2022

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	$3.3B	$4.5B	-27.0%	$12B	-35.8%	130	26	1	3

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
S••••••••• W•••••	2	Mar 27, 2024	Apr 2, 2024	MINNEAPOLIS, MN	Team lift out	Other	66.7%
S••••••••• W•••••	2	Dec 31, 2022	Dec 5, 2023

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
S••••••• A•••• M••••••••• I•••	6	Mar 20, 2015	Mar 18, 2015	WOODBURY, MN	Firm absorbed	Other	100.0%

Relationships

Affiliated with (2)

→ T•• A•••••••• I•••Registered adviserother investment adviser, common control
factForm ADV
→ L•••••• A•••• M•••••••••Registered adviserother investment adviser, common control
factForm ADV

Controls (15)

← R•••••• T•••••• J•••OwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Feb 26, 2019 to presentfactForm ADV
← L••••••• M•••••••• M•••OwnerCFO AND TREASURER/BOARD MEMBER, ownership code NA, individual

Dated events

Order

Occurred
27 Mar 2024
Advisor changed firm3 events
S••••••••• S••••••••• L••: advisor changed firm, 3 counterparties, on 27 Mar 2024
- ••• Locked
- ••• Locked
- ••• Locked
Occurred
27 Mar 2024
Firm absorbed
••• Locked
Form ADV
3 advisors
Occurred
31 Aug 2023
Control person joined
••• Locked
Form ADV
Occurred
3 Feb 2023
Control person joined
••• Locked
Form ADV
Occurred
3 Feb 2023
Control person left
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 13, 2015
Last observed: Oct 13, 2023 35 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.

All 16 rows

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
P••••• T•••• I••	Stockholder	E	yes	12/2020	Nov 11, 2021	Oct 13, 2023
R•••••• T•••••• J•••	CHIEF INVESTMENT OFFICER	Na	yes	06/2018	Feb 26, 2019	Oct 13, 2023
S••••••••• F•••••••• M•••••••• G•••• H••••••• I•••	Stockholder	F	yes	02/2018	Nov 11, 2021	Oct 13, 2023
S••••••••• F•••••••• M•••••••• H••••••• I••	Owner	E	yes	09/2021	Nov 11, 2021	Oct 13, 2023
W••••••••• S•••• D••••	BOARD MEMBER	Na	yes	08/2023	Aug 31, 2023	Oct 13, 2023
T••••••••• P•••• A•••	EXECUTIVE VICE PRESIDENT	Na	no	10/2023	Oct 13, 2023	Oct 13, 2023