DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

F•••••••• L••

CRD 16741

MINNEAPOLIS, MN

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Search this name across graphsid dfx:ria:c98f454f-ac0f-33d4-715e-f509d1f80890

Data as of Nov 20, 2015 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 109
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Nov 20, 2015
13 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: $31.0M••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 82
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F••••••• H•••••••• L••	Shareholders	E	yes	12/2007	Mar 30, 2012	Nov 20, 2015
S••••• J•••••• A••••	CHIEF FINANCIAL OFFICER, FINOP	Na	yes	06/2009	Mar 30, 2012	Nov 20, 2015

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
F•••••••• L••	n/a	Former SEC adviser	$31.0M	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Soquel	CA	United States	n/a	no
Cedartown	Ga	United States	n/a	no
Winona	Mn	United States	n/a	no
RAPID CITY	Sd	United States	n/a	no
n/a	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Mar 31, 2015

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2014	$31.0M	$34.5M	-10.3%	$110M	-34.4%	82	79	n/a	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
S•••••••• F••••••••• I•••	2	Aug 19, 2015	Aug 24, 2015	LAGUNA NIGUEL, CA	Team lift out	Other	16.7%
S••••••••• A•••••• A•••••••• I•••	13	Jul 22, 2015	Jul 27, 2015

Relationships

showing 80 of 109

Affiliated with (1)

→ F•••••••• L••Registered adviserother investment adviser, broker-dealer, common control
factForm ADV

Controls (3)

← S••••• J•••••• A••••OwnerCHIEF FINANCIAL OFFICER, FINOP, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← W••••• D••••• L••OwnerPRESIDENT/CEO/CCO, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← F••••••• H•••••••• L••Owner

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c98f454f-ac0f-33d4-715e-f509d1f80890
First observed: Mar 30, 2012
Last observed: Nov 20, 2015 132 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.