DFX Intelligence

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

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RIA / WealthRegistered adviserinstitutional managerSEC registeredRAUM 10b 100b

S•• F•••• I••••• A••••••• I•• L••

CRD 108271

MINNEAPOLIS, MN

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Search this name across graphsid dfx:ria:e8e20d01-0c77-fd6c-1bc9-bf7a91807805

Data as of Jun 22, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 33
Dated events: 1
On other graphs: 0
Observed: Mar 27, 2012 to Jun 22, 2026
33 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: institutional managerderivedprivate_client_share=0.02 fund_share=0.13 institutional_share=0.84 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $15B••• Locked
Discretionary RAUM: $15B
Private client RAUM: $248Mderived••• Locked
Private client share: 2%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 73

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S•• A•••• I• B••• F•••• L•••	Hedge Fund	$556M	Mar 28, 2024	4	Mar 27, 2012	reported	021-169581
S•• B••• P••••••••• L•••	Hedge Fund	$314M	Mar 28, 2024

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••• M•••• H•	VICE PRESIDENT AND P•••••••• MANAGER	A	yes	06/2002	Mar 27, 2020	Mar 28, 2024
D•••• B••••• A•••	SENIOR VICE PRESIDENT, SENIOR P•••••••• MANAGER	A	yes	06/2013	Mar 26, 2014	Mar 28, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S•• I••••••••• A••••••••• I••	n/a	Asset manager	$3.5B	Y	no	n/a

Regulatory AUM by fiscal year

••• Locked

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

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	$15B	n/a	n/a	$12B	8.1%	73	n/a	0	n/a

Relationships

Affiliated with (3)

→ S•• I••••••••• A••••••••• I••Registered adviserother investment adviser, pooled vehicle sponsor, control
factForm ADV
← S•• I••••••••• A••••••••• I••Registered adviserother investment adviser, bank, pooled vehicle sponsor, control
factForm ADV
← S•• I••••••••• F•••• I••••• A•••••••• I•••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV

Advises (23)

Dated events

Occurred
Mar 27, 2020
Control person joined
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e8e20d01-0c77-fd6c-1bc9-bf7a91807805
First observed: Mar 27, 2012
Last observed: Jun 22, 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.