DFX Intelligence
Data Factory
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Reading the graph
CRD 111124
ST PAUL, MN
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| JOHNSON, DONALD, ANDREW | CHIEF EXECUTIVE OFFICER | E | yes | 09/2015 | Jun 22, 2012 | Jun 29, 2020 |
| Huber, John, Francis | CHIEF COMPLIANCE OFFICER | Na | no | 12/2019 | Dec 26, 2019 | Jun 29, 2020 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2019 | Dec 26, 2019 | $135M | $135M | 3 | 2 | 0 | n/a | n/a |
| 2018 | Dec 27, 2018 | $137M | $137M | 3 | 2 | 0 | n/a | n/a |
| 2017 | Dec 20, 2017 | $123M | $123M | 3 | 2 | 0 | n/a | n/a |
| 2016 | Jan 3, 2017 | $120M | $120M | 3 | 2 | n/a | n/a | n/a |
| 2015 | Dec 28, 2015 | $108M | $108M | 3 | 1 | n/a | n/a | n/a |
| 2011 | Jun 22, 2012 | $68.3M | $0 | n/a | n/a | n/a | n/a | n/a |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2019 | $135M | $137M | -1.9% | $120M | 3.9% | 3 | 3 | 0 | 0 |