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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

W•••••• F•••••••• G•••• L••

Former SEC-registered adviserMinneapolis, MinnesotaCRD 107462SEC 801-55485IAPD
Latest filing Apr 10, 2017
First filing on the tape Feb 22, 2012 · 12 filings
RAUM
$539M
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
12
7 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$539M as of Mar 31, 2017
Feb 22, 2012$1.8B then
HNW client RAUM: no history
State-registered IARs (5.B.3)7 as of Mar 31, 2017
Feb 26, 20130 then
Employees (5.A)12 as of Mar 31, 2017
Feb 26, 201312 then
Private funds: no history
RAUM +4.7% over the last fiscal year-25% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Apr 10, 2017; every figure names its basis
RAUM per advisor
$77.0MderivedRAUM 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
$672,909derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
7.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+4.7%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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • controlled by a public reporting company (10.A)
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
801reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
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
    • E••••••• T••••• K••• · Founder/Governorcontrol
      since 04/1998 · owns less than 5%
    • E••••••• T••••• K••• · Shareholdercontrol
      since 05/2005 · owns 50% to 75% of Financial Investors Group Of M•••••••• Inc.
    • K•••• D••••• O••• · Shareholdercontrol
      since 05/2005 · owns F of Financial Investors Group Of M•••••••• Inc
    • K•••• D••••• O••• · President/Chief Compliance Officer
      since 10/2004 · owns less than 5%
    • A•••••••• T•••• J••• · Shareholder
      since 05/2005 · owns F of Financial Investors Group Of M•••••••• Inc
    Entity owners
    • F•••••••• I•••••••• G•••• O• M••••••••• I••• · Parent Corp
      direct · owns 75% or more
    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 · 786 to 801
      Mar 9, 2017 to Mar 31, 2017
    • Advisory employees · 8 to 7
      Mar 9, 2017 to Mar 31, 2017
    • Employees · 13 to 12
      Mar 9, 2017 to Mar 31, 2017
    • Discretionary RAUM · $515M to $539M
      Mar 9, 2017 to Mar 31, 2017
    • RAUM · $515M to $539M
      Mar 9, 2017 to Mar 31, 2017
    • Related broker-dealer · false to true
      Mar 9, 2017 to Mar 31, 2017
    • Related adviser · false to true
      Nov 21, 2016 to Mar 9, 2017
    • Accounts · 743 to 786
      Jun 25, 2015 to Mar 15, 2016
    • Employees · 14 to 13
      Jun 25, 2015 to Mar 15, 2016
    • State-registered IARs · 0 to 7
      Jun 25, 2015 to Mar 15, 2016
    • Discretionary RAUM · $511M to $515M
      Jun 25, 2015 to Mar 15, 2016
    • Non-discretionary RAUM · $455M to $0
      Jun 25, 2015 to Mar 15, 2016
    • RAUM · $966M to $515M
      Jun 25, 2015 to Mar 15, 2016
    • Accounts · 721 to 743
      Feb 17, 2015 to Mar 13, 2015
    • Advisory employees · 9 to 8
      Feb 17, 2015 to Mar 13, 2015
    • Financial planning clients · 51-100 to 101-250
      Feb 17, 2015 to Mar 13, 2015
    • Discretionary RAUM · $500M to $511M
      Feb 17, 2015 to Mar 13, 2015
    • Non-discretionary RAUM · $765M to $455M
      Feb 17, 2015 to Mar 13, 2015
    • RAUM · $1.3B to $966M
      Feb 17, 2015 to Mar 13, 2015
    • Accounts · 710 to 721
      Feb 26, 2013 to Mar 18, 2014
    • Employees · 12 to 14
      Feb 26, 2013 to Mar 18, 2014
    • Discretionary RAUM · $461M to $500M
      Feb 26, 2013 to Mar 18, 2014
    • Non-discretionary RAUM · $963M to $765M
      Feb 26, 2013 to Mar 18, 2014
    • RAUM · $1.4B to $1.3B
      Feb 26, 2013 to Mar 18, 2014
    • Accounts · 702 to 710
      Feb 22, 2012 to Feb 26, 2013
    • Advisory employees · unset to 9.0
      Feb 22, 2012 to Feb 26, 2013
    • Employees · unset to 12.0
      Feb 22, 2012 to Feb 26, 2013
    • Financial planning clients · 26-50 to 51-100
      Feb 22, 2012 to Feb 26, 2013
    • State-registered IARs · unset to 0.0
      Feb 22, 2012 to Feb 26, 2013
    • Discretionary RAUM · $389M to $461M
      Feb 22, 2012 to Feb 26, 2013
    • Non-discretionary RAUM · $1.4B to $963M
      Feb 22, 2012 to Feb 26, 2013
    • RAUM · $1.8B to $1.4B
      Feb 22, 2012 to Feb 26, 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