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CRD 305768
DEEPHAVEN, 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 |
|---|---|---|---|---|---|---|
| M•••••• W•••• F•••••••• | Certified Financial Planner|Chartered Financial Consultant|Chartered Financial Analyst | DEEPHAVEN, MN | 6 | 15 | 1 | no |
| K•••••••• M•••• A••••••••• F•••••••• | Chartered Financial Consultant | DEEPHAVEN, MN | 6 | 29 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| F••••••••• K••••••••• M•••• A••••••••• | FOUNDER/CHIEF EXECUTIVE OFFICER | D | yes | 11/2019 | Nov 20, 2019 | Sep 4, 2024 |
| F••••••••• M••••••• W•••• | FOUNDER/CHIEF COMPLIANCE OFFICER | C | yes | 11/2019 | Sep 16, 2019 | Sep 4, 2024 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 30, 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 | $683M | $576M | 18.6% | $491M | 11.6% | 8 | 8 | 0 | 0 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| N••••••••• M••••• I••••••••• S••••••••• | 2 | Dec 31, 2018 | Apr 11, 2023 | DEEPHAVEN, MN | Team lift out | Other | 0.1% |
| 1 |
| no |
| S•••• N• W••••••• | Certified Financial Planner|Chartered Financial Consultant | DEEPHAVEN, MN | 3 | 15 | 1 | no |
| K••• J•••• J••••••• | n/a | DEEPHAVEN, MN | 3 | 15 | 3 | no |
| J•••••••• K•••• J•••• |
| CHIEF OPERATING OFFICER |
| Na |
| no |
| 01/2023 |
| Mar 26, 2024 |
| Sep 4, 2024 |
| $683M |
| $683M |
| 8 |
| 4 |
| 0 |
| n/a |
| n/a |
| 2024 | Mar 20, 2025 | $576M | $576M | 8 | 4 | 0 | n/a | n/a |
| 2023 | Mar 26, 2024 | $506M | $506M | 8 | 4 | 0 | n/a | n/a |
| 2022 | Mar 24, 2023 | $491M | $491M | 7 | 3 | 0 | n/a | n/a |
| 2021 | Mar 8, 2022 | $434M | $434M | 7 | 3 | 0 | n/a | n/a |
| 2020 | Mar 25, 2021 | $347M | $347M | 6 | 5 | 0 | n/a | n/a |
| 2019 | Mar 3, 2020 | $181M | $181M | 6 | 5 | 0 | n/a | n/a |