DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
J•••• K•••• • A••••••••• I•••
Latest filing Mar 4, 2026
First filing on the tape Jan 9, 2012 · 22 filings
SEC status approved since Mar 19, 2018
RAUM
$239M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$234M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$59.8M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$239M as of Mar 4, 2026
Jan 9, 2012$73.2M then
HNW client RAUM$227M as of Mar 4, 2026
Feb 24, 2022$183M then
State-registered IARs (5.B.3)4 as of Mar 4, 2026
Jan 9, 20120 then
Employees (5.A)4 as of Mar 4, 2026
Mar 8, 20194 then
Private funds: no history
RAUM +16% over the last fiscal year+16% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 4, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $59.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 11derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.5MderivedHNW RAUM over HNW clients
- Average account
- $5.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -6.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $239MreportedItem 5.I
- Custody
- $48.3M, 30 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$227M95%
- Individuals$6.2M2.6%
- Pension and profit-sharing plans$5.1M2.1%
- Corporations and businesses$424,8320.2%
- Individual clients
- 9reported
- HNW clients
- 35reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 46reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $48.3M for 30 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••••••• F••••••• J•••• | Minneapolis, Mn | Oct 24, 1994 | 40 y | 0 |
| L•••• S•• W•••• | Blaine, Mn | Mar 25, 2016 | 32 y | 0 |
| M•••••• G•••••• M••••• | Blaine, Mn | Apr 21, 2021 | 33 y | 2 |
| B•••• H••••• K•••• | Blaine, Mn | May 10, 2021 | 32 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- M•••••• G•••••• M••••• from C•••••• M••••••••• A••••••••• I••Apr 21, 2021 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••• B••••• H••••• · Chief Executive Officer/President/Chief Compliance Officercontrolsince 01/2014 · owns 50% to 75%
- W••••• L••••• S•• · Chief Financial Officer/Treasurercontrolsince 01/2014 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Blaine, Mn · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 47 to 46Feb 19, 2025 to Mar 4, 2026
- HNW clients · 38 to 35Feb 19, 2025 to Mar 4, 2026
- Assets in custody · $206M to $48.3MFeb 19, 2025 to Mar 4, 2026
- Discretionary RAUM · $206M to $239MFeb 19, 2025 to Mar 4, 2026
- HNW RAUM · $197M to $227MFeb 19, 2025 to Mar 4, 2026
- Individual RAUM · $4.1M to $6.2MFeb 19, 2025 to Mar 4, 2026
- Pension RAUM · $4.4M to $5.1MFeb 19, 2025 to Mar 4, 2026
- RAUM · $206M to $239MFeb 19, 2025 to Mar 4, 2026
- Wrap assets (manager) · $206M to $0Feb 19, 2025 to Mar 4, 2026
- Accounts · 45 to 47Feb 23, 2024 to Feb 19, 2025
- HNW clients · 33 to 38Feb 23, 2024 to Feb 19, 2025
- Individual clients · 12 to 9Feb 23, 2024 to Feb 19, 2025
- Assets in custody · $181M to $206MFeb 23, 2024 to Feb 19, 2025
- Financial planning clients · unset to Feb 23, 2024 to Feb 19, 2025
- Discretionary RAUM · $181M to $206MFeb 23, 2024 to Feb 19, 2025
- HNW RAUM · $171M to $197MFeb 23, 2024 to Feb 19, 2025
- Individual RAUM · $6.4M to $4.1MFeb 23, 2024 to Feb 19, 2025
- Pension RAUM · $4.2M to $4.4MFeb 23, 2024 to Feb 19, 2025
- RAUM · $181M to $206MFeb 23, 2024 to Feb 19, 2025
- Wrap assets (manager) · $181M to $206MFeb 23, 2024 to Feb 19, 2025
- Accounts · 46 to 45May 15, 2023 to Feb 23, 2024
- HNW clients · 34 to 33May 15, 2023 to Feb 23, 2024
- Assets in custody · $154M to $181MMay 15, 2023 to Feb 23, 2024
- Discretionary RAUM · $154M to $181MMay 15, 2023 to Feb 23, 2024
- HNW RAUM · $145M to $171MMay 15, 2023 to Feb 23, 2024
- Individual RAUM · $5.5M to $6.4MMay 15, 2023 to Feb 23, 2024
- Pension RAUM · $3.5M to $4.2MMay 15, 2023 to Feb 23, 2024
- RAUM · $154M to $181MMay 15, 2023 to Feb 23, 2024
- Wrap assets (manager) · $154M to $181MMay 15, 2023 to Feb 23, 2024
- Business name · W••• to J•••• K•••• • A••••••••• I•••May 11, 2023 to May 15, 2023
- Legal name · WCM, INC. to J•••• K•••• • A••••••••• I•••May 11, 2023 to May 15, 2023
- HQ city · MINNEAPOLIS to BLAINEFeb 21, 2023 to May 11, 2023
- HNW clients · 35 to 34Feb 24, 2022 to Feb 21, 2023
- Individual clients · 11 to 12Feb 24, 2022 to Feb 21, 2023
- Assets in custody · $193M to $154MFeb 24, 2022 to Feb 21, 2023
- Discretionary RAUM · $193M to $154MFeb 24, 2022 to Feb 21, 2023
- HNW RAUM · $183M to $145MFeb 24, 2022 to Feb 21, 2023
- Individual RAUM · $5.7M to $5.5MFeb 24, 2022 to Feb 21, 2023
- Pension RAUM · $4.8M to $3.5MFeb 24, 2022 to Feb 21, 2023
- RAUM · $193M to $154MFeb 24, 2022 to Feb 21, 2023
Signals
2 dated events
- Marie Rose Hanson (Chief Compliance Officer) no longer on Schedule A of J•••• K•••• • A••••••••• I••• (listed 2020-10-23, absent 2021-03-09)Mar 9, 2021 · Control person left · inference
- Wcmi filed its initial SEC registration (Form ADV)Feb 12, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Principal office phone
- 612-341-2218reportedpublic record, Form ADV, Mar 4, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $59.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026