DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 10b 100b

3• I••••••••• M••••••••• C•••

CRD 109098

ST PAUL, MN

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Search this name across graphsid dfx:ria:f314a1f5-f19c-c356-367a-0f9ec07a4db0

Data as of Jun 15, 2018 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: Mar 15, 2012 to Jun 15, 2018
9 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $34B••• Locked
Discretionary RAUM: $31B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 8
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
3• C••••••	Stockholder	E	yes	09/1999	Mar 15, 2012	Jun 15, 2018
D•••••• D•••••• P•	President	Na	yes	05/2003	Mar 15, 2012	Jun 15, 2018

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	$34B	$30B	13.0%	$30B	3.8%	8	10	1	n/a

Relationships

Controls (9)

← O••••••••• H••••••• E••••••••OwnerVICE PRESIDENT & SECRETARY, ownership code NA, individual
Mar 30, 2015 to presentfactForm ADV
← L•••••• G••••• M••••••OwnerDIRECTOR, ownership code NA, individual
Mar 27, 2013 to presentfactForm ADV
← D•••••• D•••••• P•OwnerPRESIDENT, ownership code NA, individual
Mar 15, 2012 to presentfactForm ADV
← P•••• J••• P••••• E••••••OwnerVICE PRESIDENT, ownership code NA, individual
Mar 15, 2012 to presentfact

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f314a1f5-f19c-c356-367a-0f9ec07a4db0
First observed: Mar 15, 2012
Last observed: Jun 15, 2018 100 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.