DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

I•••• C•••••• L••

CRD 309034

MINNEAPOLIS, MN

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Search this name across graphsid dfx:ria:d608e552-8483-f58e-a893-1bb83688898c

Data as of Mar 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 2
On other graphs: 0
Observed: Aug 28, 2020 to Mar 25, 2026
8 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: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $365M••• Locked
Discretionary RAUM: $365M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 1

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
I•••• C•••••• F••• L••••••	Hedge Fund	$365M	Mar 25, 2026	52	Mar 30, 2012	reported	021-476921

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••• C••••••••• E••••• L••	Shareholder	E	yes	11/2016	Mar 21, 2024	Mar 21, 2024
A••• F••• S••••••• ••••••••• L•••	Trustee	F	yes	06/2020	Aug 28, 2020	Mar 21, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
I•••• C•••••• M••••••••• L••••••	n/a	Asset manager	$395M	Y	yes	n/a
I•••• C•••••• M••••••••• H• L••	n/a	n/a	n/a	N	yes	n/a
I•••• C•••••• R••••••• A•• A••••••• P•••••• L••••••

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 25, 2026

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	$365M	$349M	4.7%	$320M	4.5%	1	1	0	0

Relationships

Affiliated with (2)

→ I•••• C•••••• M••••••••• L••••••Registered adviserother investment adviser, control, common control
factForm ADV
← I•••• C•••••• M••••••••• L••••••Registered adviserother investment adviser, common control
factForm ADV

Controls (13)

← L•••• S•••••• B••••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Aug 28, 2020 to Mar 21, 2024factForm ADV
← T••••••••• D•••••• C••••Owner

Dated events

Occurred
Oct 13, 2020
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Aug 28, 2020
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d608e552-8483-f58e-a893-1bb83688898c
First observed: Aug 28, 2020
Last observed: Mar 25, 2026 6 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.