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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

N•••••••• A•••• M•••••••••

N•••••••• S••••••••• I•••, CRD 40258

MINNEAPOLIS, 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:eeaffc9a-a0aa-f8b0-1a50-b1cf728ed9ab

Data as of Jun 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 80
Dated events: 23
On other graphs: 2
Observed: Mar 28, 2012 to Jun 26, 2026
39 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Venture Capitalidentity

N•••••••• S••••••••• I•••

Venture manager · shared crd

Independent Sponsorsidentity

N•••••••• S••••••••• I•••

Intermediary · shared crd

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=0.02 related_bd=true related_bank=false bd_reps=22.0
Regulatory AUM: $405MItem 5.F on the latest filing (2026-06-26); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $387M
Private client RAUM: $399MderivedItem 5.D individuals plus high net worth individuals
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 40
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first; showing 25 of 39

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J•••• R•••••• C••••••	n/a	MILWAUKEE, WI	18	46	2	yes
T••••• P•••• L••••••	n/a	MINNEAPOLIS, MN	16

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
A••••• D••••• R••••••	CHIEF FINANCIAL OFFICER, FINOP	Na	yes	08/2017	Sep 6, 2017	Jul 19, 2024
F•••• N••••••• O• N•••••••• I•••	DIRECT OWNER	E	yes	05/2023	May 30, 2023

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
F•••• N••••••• A•••••••• L••	n/a	Mixed wealth	$7.4B	N	yes	n/a
T•••••••• C•••••• M••••••••• L••	n/a	Asset manager	$1.9B	N	yes

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Milwaukee	Wi	United States	7	yes

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
8	5	3	12.5%	1	2	0	12	6

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	$405M	$360M	12.7%	$203M	25.9%	22	24	2	1

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
I••••••••• A•••••• A•••••••• L••	2	Sep 29, 2017	Sep 28, 2017	MILWAUKEE, WI	Team lift out	Other	9.5%

Relationships

Registered with (63)

← GERRY TROY BOLLINGERAdvisorregistration: current employment
Aug 3, 2026 to presentfactForm ADV
← Jack Howard OswaldAdvisorregistration: current employment
Jun 29, 2026 to presentfactForm ADV
← Andrea Lee SpraungelAdvisorregistration: current employment
May 28, 2026 to presentfactForm ADV
← PARKER WILLIS

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Sep 15, 2026
A•••••• firm change
Seth Norman Kahn left N•••••••• A•••• M••••••••• for Colliers S••••••••• LLC (registered 2026-09-09)
Form ADVobserved 5 days ago
Occurred
Aug 27, 2026
A•••••• firm change
Justin Taylor Damon left N•••••••• A•••• M••••••••• for Kerberrose Wealth Management, Llc (registered 2026-08-27)
Form ADVobserved 7 days ago
Occurred
Mar 16, 2026
A•••••• firm change
Ashraf Farag Hassan left N•••••••• A•••• M••••••••• for Wells Fargo Advisors (registered 2026-07-02)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:eeaffc9a-a0aa-f8b0-1a50-b1cf728ed9ab
First observed: Mar 28, 2012
Last observed: Jun 26, 2026 2 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.