DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

C••••• F•••••••• A•••••••• I•••

CRD 109890

EDINA, MN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:ded74e9c-0a48-942f-d593-692975712389

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 20
Dated events: 6
On other graphs: 0
Observed: Feb 17, 2012 to Mar 30, 2026
34 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=0.98 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.8B••• Locked
Discretionary RAUM: $1.6B
Private client RAUM: $1.7Bderived••• Locked
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 12
RAUM per advisor: $148Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
N••••••• J•••• H•••	Certified Financial Planner	EDINA, MN	13	25	n/a	no
J•••••• R••••• O••	Certified Financial Planner	EDINA, MN	13	33	1

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
N••• C••••••• M•	CHIEF COMPLIANCE OFFICER/CHIEF OPERATIONS OFFICER	Na	yes	01/2013	Mar 30, 2026	Mar 30, 2026
O••• J••••••• R•••••	President	E	yes	09/2011	Mar 30, 2026	Mar 30, 2026

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
1	1	0	8.3%	0	0	0	3	4

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	$1.8B	$1.4B	23.6%	$1.1B	17.2%	22	20	0	0

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
F•••• A•••••••	2	Feb 20, 2018	Feb 15, 2018	INVER GROVE HEIGHTS, MN	Team lift out	Other	9.1%

Relationships

Registered with (17)

← M•••••• W•••••Advisorregistration: current employment
Oct 1, 2025 to presentfactForm ADV
← R•••••• B•••••Advisorregistration: current employment
Aug 18, 2025 to presentfactForm ADV
← B•••••• J•• B•••••••Advisorregistration: current employment
Dec 19, 2024 to presentfactForm ADV
← E••• W•••••• C••••••

Dated events

Occurred
Mar 7, 2026
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Oct 3, 2024
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Jul 1, 2024
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Apr 2, 2024
Advisor changed firm

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ded74e9c-0a48-942f-d593-692975712389
First observed: Feb 17, 2012
Last observed: Mar 30, 2026 5 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.