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
S••••• T•••••• C•••••• G•••• I••
Latest filing Mar 24, 2026
First filing on the tape Mar 14, 2012 · 27 filings
SEC status approved since Apr 8, 1992
RAUM
$469M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
28%
$129M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$93.8M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$469M as of Mar 24, 2026
Mar 14, 2012$340M then
HNW client RAUM$116M as of Mar 24, 2026
Feb 21, 2018$207M then
State-registered IARs (5.B.3)4 as of Mar 24, 2026
Mar 14, 20120 then
Employees (5.A)4 as of Mar 24, 2026
Mar 5, 20133 then
Private funds1 as of Mar 24, 2026
Mar 14, 20121 then
RAUM -10% over the last fiscal year-2.2% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $93.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 3derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.3MderivedHNW RAUM over HNW clients
- Average account
- $11.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 49%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.3%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$119M25%
- High-net-worth individuals$116M25%
- Pooled investment vehicles$111M24%
- Charitable organizations$106M23%
- Individuals$13.0M2.8%
- State and municipal entities$4.0M0.9%
- Individual clients
- 3reported
- HNW clients
- 14reported
- Pension plan clients
- 2reported
- Charitable clients
- 9reported
- Accounts
- 41reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.28 fund_share=0.24 institutional_share=0.49 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| F••• H••••• S•••••Chartered Financial Analyst | Minnetonka, Mn | Jan 23, 2014 | 34 y | 0 |
| B••••••• D•••• J••••••Chartered Financial Analyst | Minnetonka, Mn | Jan 23, 2014 | 29 y | 0 |
| M•••••• J••••• W•••••Chartered Financial Analyst | Minnetonka, Mn | Nov 11, 2014 | 15 y | 0 |
| P•••• J•••• S••••••Chartered Financial Analyst | Minnetonka, Mn | Aug 24, 2017 | 25 y | 0 |
| J•••• W•••••• R••••• | Minnetonka, Mn | Apr 7, 2022 | 34 y | 2 |
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
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••• T•••••• C•••••• G•••• V•••• F•••• L•• | Hedge Fund | $120M | 43 | Mar 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- J••••••• B•••••••• D•••• · Director, Shareholdercontrolsince 01/2007 · owns 10% to 25%
- R•••••• J••••• W•••••• · Chief Compliance Officercontrolsince 11/2023 · owns less than 5%
- S•••••• F•••• H••••• · Director, Shareholdercontrolsince 03/1992 · owns 50% to 75%
- S••••••• P••••• J•••• · Director, Shareholdercontrolsince 01/2019 · owns 10% to 25%
- W•••••• M••••••• J••••• · Director, Shareholdercontrolsince 01/2016 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Minnetonka, Mn · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Mar 24, 2026institutional share of RAUM of 49% against a peer median of 0% (5676 comparable advisers, 99.0th percentile, 16.4 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 40 to 41Feb 5, 2025 to Mar 24, 2026
- Charity clients · 8 to 9Feb 5, 2025 to Mar 24, 2026
- HNW clients · 13 to 14Feb 5, 2025 to Mar 24, 2026
- Discretionary RAUM · $522M to $469MFeb 5, 2025 to Mar 24, 2026
- HNW RAUM · $140M to $116MFeb 5, 2025 to Mar 24, 2026
- Individual RAUM · $14.0M to $13.0MFeb 5, 2025 to Mar 24, 2026
- Pension RAUM · $138M to $119MFeb 5, 2025 to Mar 24, 2026
- Pooled vehicle RAUM · $126M to $111MFeb 5, 2025 to Mar 24, 2026
- RAUM · $522M to $469MFeb 5, 2025 to Mar 24, 2026
- HNW clients · 12 to 13Aug 13, 2024 to Feb 5, 2025
- Financial planning clients · 0 to 0Aug 13, 2024 to Feb 5, 2025
- Discretionary RAUM · $504M to $522MAug 13, 2024 to Feb 5, 2025
- HNW RAUM · $143M to $140MAug 13, 2024 to Feb 5, 2025
- Pension RAUM · $126M to $138MAug 13, 2024 to Feb 5, 2025
- Pooled vehicle RAUM · $120M to $126MAug 13, 2024 to Feb 5, 2025
- RAUM · $504M to $522MAug 13, 2024 to Feb 5, 2025
- Accounts · 28 to 40Dec 7, 2023 to Jan 23, 2024
- Charity clients · 7 to 8Dec 7, 2023 to Jan 23, 2024
- Individual clients · 2 to 3Dec 7, 2023 to Jan 23, 2024
- Pension plan clients · 3 to 2Dec 7, 2023 to Jan 23, 2024
- Discretionary RAUM · $502M to $504MDec 7, 2023 to Jan 23, 2024
- HNW RAUM · $157M to $143MDec 7, 2023 to Jan 23, 2024
- Individual RAUM · $13.0M to $14.0MDec 7, 2023 to Jan 23, 2024
- Pension RAUM · $131M to $126MDec 7, 2023 to Jan 23, 2024
- Pooled vehicle RAUM · $116M to $120MDec 7, 2023 to Jan 23, 2024
- RAUM · $502M to $504MDec 7, 2023 to Jan 23, 2024
- HQ city · MINNEAPOLIS to MINNETONKAOct 22, 2022 to Jan 31, 2023
- Discretionary RAUM · $501M to $502MOct 22, 2022 to Jan 31, 2023
- HNW RAUM · $165M to $157MOct 22, 2022 to Jan 31, 2023
- Individual RAUM · $14.0M to $13.0MOct 22, 2022 to Jan 31, 2023
- Pension RAUM · $115M to $131MOct 22, 2022 to Jan 31, 2023
- Pooled vehicle RAUM · $117M to $116MOct 22, 2022 to Jan 31, 2023
- RAUM · $501M to $502MOct 22, 2022 to Jan 31, 2023
- Accounts · 27 to 28May 5, 2021 to Mar 17, 2022
- Charity clients · 6 to 7May 5, 2021 to Mar 17, 2022
- HNW clients · 15 to 12May 5, 2021 to Mar 17, 2022
- Individual clients · unset to 2.0May 5, 2021 to Mar 17, 2022
- Discretionary RAUM · $421M to $501MMay 5, 2021 to Mar 17, 2022
- HNW RAUM · $161M to $165MMay 5, 2021 to Mar 17, 2022
- Individual RAUM · unset to 14000000.0May 5, 2021 to Mar 17, 2022
Signals
4 dated events
- William Jason Roeske (Chief Compliance Officer) appeared on Schedule A of S••••• T•••••• C•••••• G•••• I••Dec 7, 2023 · Control person joined · fact
- Knobel Clark Hunt (Director, Shareholder) no longer on Schedule A of S••••• T•••••• C•••••• G•••• I•• (listed 2020-06-25, absent 2021-03-15)Mar 15, 2021 · Control person left · inference
- James Peter Swanson (Chief Compliance Officer, Director, Sharholder) appeared on Schedule A of S••••• T•••••• C•••••• G•••• I••Jun 3, 2019 · Control person joined · fact
- S••••• T•••••• C•••••• G•••• I•• reported RAUM $346.0M, down 28% from $482.0M (2018-02-21 to 2019-02-11)Feb 11, 2019 · RAUM change · derived
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
- Business email
- info@stcapital.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 612-338-4649reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/S•••••-T••••••-CAPITAL-GROUreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 612-338-4649reportedpublic record, Form ADV, Mar 24, 2026
- Team page
- stcapital.com/who-we-arereportedpublished by the firm, firm site, Sep 15, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $93.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026