DFX Intelligence

K••••••• W••••• A•••••••• I•••••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

K••••••• W••••• A•••••••• I•••••••••

CRD 153418

EAGAN, MN

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Search this name across graphsid dfx:ria:c8ad2962-37f4-7646-c0e7-1c63979a91ca

Data as of Jun 11, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Mar 7, 2012 to Jun 11, 2026
25 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=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $201M••• Locked
Discretionary RAUM: $0
Private client RAUM: $201Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $67.1Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
B•••••• A••••• O••••	Certified Financial Planner	EAGAN, MN	12	28	2	no
A••••• M•••• M••••••	n/a	MENDOTA HEIGHTS, MN \| EAGAN, MN	2	11

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••• S•••••• D••••••	CEO/CHIEF COMPLIANCE OFFICER	D	yes	04/2010	Mar 7, 2012	Jun 6, 2024
O••••• B••••••• A•••••	President	D	yes	04/2010	Mar 7, 2012	Jun 6, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
ST. CLOUD	Mn	United States	1	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

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
2024	$201M	$157M	28.3%	$100M	26.2%	3	3	3	2

Relationships

Registered with (5)

← S••••• D•••••• C••••••Advisorregistration: previous registration
May 10, 2010 to Dec 31, 2010factForm ADV
← A••••• M•••• M••••••Advisorregistration: current employment
Jan 11, 2024 to presentfactForm ADV
← B•••••• A••••• O••••Advisorregistration: previous registration
May 10, 2010 to Dec 31, 2010factForm ADV
← A••• W••• N••••••

Dated events

Occurred
Jun 11, 2026
Ria hq relocated
••• Locked
Form ADVobserved today

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c8ad2962-37f4-7646-c0e7-1c63979a91ca
First observed: Mar 7, 2012
Last observed: Jun 11, 2026 3 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.