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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Former SEC-registered adviser

S•• I••••••••• F•••• I••••• A•••••••• I•••

Former SEC-registered adviserMinneapolis, MinnesotaCRD 106065SEC 801-21385IAPD
Latest filing Mar 25, 2019
First filing on the tape Mar 27, 2012 · 16 filings
RAUM
$815M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
1.3%
$10.8M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
71
35 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$815M as of Mar 25, 2019
Mar 27, 2012$713M then
HNW client RAUM$10.8M as of Mar 25, 2019
Mar 29, 2018$25.7M then
State-registered IARs (5.B.3)0 as of Mar 25, 2019
Mar 27, 20120 then
Employees (5.A)71 as of Mar 25, 2019
Feb 7, 201372 then
Private funds: no history
RAUM -0.0% over the last fiscal year+4.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 2019; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$81.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
99%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-0.0%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$524M64%
  • Insurance companies$161M20%
  • Charitable organizations$119M15%
  • High-net-worth individuals$10.8M1.3%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
10reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • S••• G•••• V• · Shareholdercontrol
        since 06/2008 · owns 5% to 10%
      • S••• R••••• J• · Chairman And Ceocontrol
        since 07/2008 · owns less than 5%
      • R••••••••• P•••• E••••• · Vice President, Secretary, Chief Compliance Officer
        since 06/1994 · owns less than 5%
      Entity owners
      • S•• I••••••••• A••••••••• I••• · Shareholder
        direct · owns 75% or more
      • G••• V• S•• F••••• T•••• · Shareholder
        indirect · owns 25% to 50% of S•• I••••••••• A••••••••• I•••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 11 to 10
        Jan 3, 2019 to Mar 25, 2019
      • Employees · 75 to 71
        Jan 3, 2019 to Mar 25, 2019
      • Discretionary RAUM · $816M to $815M
        Jan 3, 2019 to Mar 25, 2019
      • HNW RAUM · $25.7M to $10.8M
        Jan 3, 2019 to Mar 25, 2019
      • Pension RAUM · $509M to $524M
        Jan 3, 2019 to Mar 25, 2019
      • RAUM · $816M to $815M
        Jan 3, 2019 to Mar 25, 2019
      • Accounts · 10 to 11
        Mar 29, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 29, 2017 to Mar 29, 2018
      • Discretionary RAUM · $777M to $816M
        Mar 29, 2017 to Mar 29, 2018
      • HNW RAUM · unset to 25666433.0
        Mar 29, 2017 to Mar 29, 2018
      • Individual RAUM · unset to 0.0
        Mar 29, 2017 to Mar 29, 2018
      • Pension RAUM · unset to 509295811.0
        Mar 29, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Mar 29, 2017 to Mar 29, 2018
      • RAUM · $777M to $816M
        Mar 29, 2017 to Mar 29, 2018
      • Employees · 73 to 75
        Mar 29, 2016 to Mar 29, 2017
      • Discretionary RAUM · $721M to $777M
        Mar 29, 2016 to Mar 29, 2017
      • RAUM · $721M to $777M
        Mar 29, 2016 to Mar 29, 2017
      • Accounts · 9 to 10
        Jul 1, 2015 to Mar 29, 2016
      • Advisory employees · 36 to 35
        Jul 1, 2015 to Mar 29, 2016
      • Discretionary RAUM · $705M to $721M
        Jul 1, 2015 to Mar 29, 2016
      • RAUM · $705M to $721M
        Jul 1, 2015 to Mar 29, 2016
      • Accounts · 11 to 9
        Jan 9, 2015 to Mar 30, 2015
      • Advisory employees · 34 to 36
        Jan 9, 2015 to Mar 30, 2015
      • Employees · 72 to 73
        Jan 9, 2015 to Mar 30, 2015
      • Discretionary RAUM · $707M to $705M
        Jan 9, 2015 to Mar 30, 2015
      • RAUM · $707M to $705M
        Jan 9, 2015 to Mar 30, 2015
      • Related bank · false to true
        Jan 9, 2015 to Mar 30, 2015
      • RAUM · $719M to $707M
        Feb 7, 2013 to Mar 26, 2014
      • Advisory employees · 33 to 34
        Feb 7, 2013 to Mar 26, 2014
      • Discretionary RAUM · $719M to $707M
        Feb 7, 2013 to Mar 26, 2014
      • Accounts · 8 to 11
        Mar 27, 2012 to Feb 7, 2013
      • Advisory employees · unset to 33.0
        Mar 27, 2012 to Feb 7, 2013
      • Employees · unset to 72.0
        Mar 27, 2012 to Feb 7, 2013
      • Discretionary RAUM · $713M to $719M
        Mar 27, 2012 to Feb 7, 2013
      • RAUM · $713M to $719M
        Mar 27, 2012 to Feb 7, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      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
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026