DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

E•••• F••••••••• L••

CRD 145301

RED WING, MN

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Search this name across graphsid dfx:ria:c3811189-7408-d737-ade5-4390f2657210

Data as of Aug 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 3
On other graphs: 0
Observed: Dec 22, 2011 to Aug 19, 2026
29 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: independent wealth managerderivedprivate_client_share=0.7 fund_share=0.0 institutional_share=0.3 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $404M••• Locked
Discretionary RAUM: $348M
Private client RAUM: $284Mderived••• Locked
Private client share: 70%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 7
RAUM per advisor: $57.8Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J•••• C••••••• L•••	n/a	CENTENNIAL, CO \| RED WING, MN	14	23	1	no
J•••• S•••• L•••••	Certified Financial Planner	RED WING, MN	12	20

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L•••••• J••••• S••••	MEMBER/CHIEF COMPLIANCE OFFICER	B	yes	10/2007	Dec 22, 2011	Jul 11, 2024
L•••••• J•••• R••••••	Member	C	yes	07/2013	Jan 21, 2016	Jul 11, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Hastings	Mn	United States	3	no
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

Advisor flows

••• Locked

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

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$404M	$333M	21.3%	$240M	19.0%	11	6	3	3

Relationships

Registered with (7)

← C••••• L••• B••••Advisorregistration: current employment
May 29, 2026 to presentfactForm ADV
← J••• P•••••• M••••Advisorregistration: previous registration
Apr 27, 2010 to Feb 29, 2012factForm ADV
← M•••••• W•••• S•••••••Advisorregistration: current employment
Jul 15, 2021 to presentfactForm ADV
← B•••• L••••• U•••••

Dated events

Occurred
Feb 28, 2022
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Feb 28, 2022
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 21, 2016
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c3811189-7408-d737-ade5-4390f2657210
First observed: Dec 22, 2011
Last observed: Aug 19, 2026 35 days 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.