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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

M•••• A•••••••• L••

CRD 291204

EXCELSIOR, 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:eb08a3e6-a26f-73f4-50f2-c06339d4d32e

Data as of Feb 23, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 1
On other graphs: 0
Observed: Jan 29, 2018 to Feb 23, 2026
16 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: $601MItem 5.F on the latest filing (2026-02-23); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $593M
Private client RAUM: $601MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
T•• M•••••• W••••	Certified Financial Planner	Excelsior, MN	8	41	1	no
K••• K••••••• H•••••••	Chartered Financial Analyst	Excelsior, MN	8	17

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
W••••• T••• M••••••	MANAGING MEMBER & CHIEF COMPLIANCE OFFICER	D	yes	03/2018	Jan 29, 2018	Feb 26, 2024
H•••••••• K•••• K•••••••	MEMBER & CHIEF INVESTMENT OFFICER	C	no	01/2017	Jan 27, 2021

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

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

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

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

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$601M	$514M	16.9%	$351M	19.6%	8	7	0	0

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
L•• F•••••••• L••	2	Apr 9, 2018	Mar 1, 2018	EXCELSIOR, MN	Team lift out	RIA to new firm	0.0%

Relationships

Registered with (5)

← P•••• M•••••• W••••Advisorregistration: current employment
Nov 14, 2024 to presentfactForm ADV
← M••••••• L•••• S••••••Advisorregistration: current employment
Jan 27, 2021 to presentfactForm ADV
← T•• M•••••• W••••Advisorregistration: current employment
Mar 1, 2018 to presentfactForm ADV
← K••• K••••••• H•••••••

Dated events

Occurred
Jan 29, 2018
First Form ADV filing
M•••• A•••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:eb08a3e6-a26f-73f4-50f2-c06339d4d32e
First observed: Jan 29, 2018
Last observed: Feb 23, 2026 7 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.