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.

Former SEC-registered adviser

Vector Wealth Management, LLC

Former SEC-registered adviserMinneapolis, MinnesotaCRD 106090SEC 801-51685IAPD
Latest filing Mar 31, 2017
First filing on the tape Dec 12, 2011 · 19 filings
RAUM
$40.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$40.5M as of Mar 31, 2017
Feb 13, 2012$423M then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Mar 31, 2017
Feb 25, 20130 then
Employees (5.A)11 as of Mar 31, 2017
Feb 25, 201313 then
Private funds: no history
RAUM -92% over the last fiscal year-56% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 31, 2017; every figure names its basis
RAUM per advisor
$8.1MderivedRAUM 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
$352,341derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.2derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-92%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
115reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Lee Sharon Calhoun · Membercontrol
        since 10/2006 · owns 10% to 25%
      • Gifford Thomas Fee · Member/Managercontrol
        since 11/1993 · owns 75% or more
      • Marie Suzanne Klapperich · Chief Compliance Officercontrol
        since 09/2016 · owns less than 5%
      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 · 1,733 to 115
        Feb 1, 2017 to Mar 31, 2017
      • Advisory employees · 6 to 5
        Feb 1, 2017 to Mar 31, 2017
      • Advisory activities · 5 to 4
        Feb 1, 2017 to Mar 31, 2017
      • Insurance-licensed employees · 0 to 3
        Feb 1, 2017 to Mar 31, 2017
      • Discretionary RAUM · $525M to $40.5M
        Feb 1, 2017 to Mar 31, 2017
      • Non-discretionary RAUM · $4.0M to $32,672
        Feb 1, 2017 to Mar 31, 2017
      • RAUM · $529M to $40.5M
        Feb 1, 2017 to Mar 31, 2017
      • Related adviser · false to true
        Oct 28, 2016 to Feb 1, 2017
      • Advisory employees · 8 to 6
        Jun 7, 2016 to Oct 3, 2016
      • Employees · 16 to 11
        Jun 7, 2016 to Oct 3, 2016
      • Accounts · 1,666 to 1,733
        Feb 11, 2016 to Mar 18, 2016
      • Advisory employees · 5 to 8
        Feb 11, 2016 to Mar 18, 2016
      • Advisory activities · 4 to 5
        Feb 11, 2016 to Mar 18, 2016
      • Employees · 13 to 16
        Feb 11, 2016 to Mar 18, 2016
      • Financial planning clients · unset to 1-10
        Feb 11, 2016 to Mar 18, 2016
      • Discretionary RAUM · $519M to $525M
        Feb 11, 2016 to Mar 18, 2016
      • Non-discretionary RAUM · $5.1M to $4.0M
        Feb 11, 2016 to Mar 18, 2016
      • RAUM · $524M to $529M
        Feb 11, 2016 to Mar 18, 2016
      • Accounts · 1,612 to 1,666
        Mar 5, 2014 to Mar 9, 2015
      • Discretionary RAUM · $472M to $519M
        Mar 5, 2014 to Mar 9, 2015
      • Non-discretionary RAUM · $5.1M to $5.1M
        Mar 5, 2014 to Mar 9, 2015
      • RAUM · $477M to $524M
        Mar 5, 2014 to Mar 9, 2015
      • Accounts · 1,690 to 1,612
        Sep 25, 2013 to Jan 22, 2014
      • Advisory employees · 8 to 5
        Sep 25, 2013 to Jan 22, 2014
      • State-registered IARs · 0 to 5
        Sep 25, 2013 to Jan 22, 2014
      • Discretionary RAUM · $464M to $472M
        Sep 25, 2013 to Jan 22, 2014
      • Non-discretionary RAUM · $4.9M to $5.1M
        Sep 25, 2013 to Jan 22, 2014
      • RAUM · $469M to $477M
        Sep 25, 2013 to Jan 22, 2014
      • Discretionary RAUM · $432M to $464M
        Feb 25, 2013 to May 20, 2013
      • Non-discretionary RAUM · $6.1M to $4.9M
        Feb 25, 2013 to May 20, 2013
      • RAUM · $438M to $469M
        Feb 25, 2013 to May 20, 2013
      • Accounts · 1,691 to 1,690
        Jun 20, 2012 to Feb 25, 2013
      • Advisory employees · unset to 8.0
        Jun 20, 2012 to Feb 25, 2013
      • Advisory activities · 3 to 4
        Jun 20, 2012 to Feb 25, 2013
      • BD registered reps · unset to 1.0
        Jun 20, 2012 to Feb 25, 2013
      • Assets in custody · 16300000.0 to unset
        Jun 20, 2012 to Feb 25, 2013
      • Custody of client assets · true to false
        Jun 20, 2012 to Feb 25, 2013
      • Employees · unset to 13.0
        Jun 20, 2012 to Feb 25, 2013
      • State-registered IARs · unset to 0.0
        Jun 20, 2012 to Feb 25, 2013
      • Discretionary RAUM · $413M to $432M
        Jun 20, 2012 to Feb 25, 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