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Former SEC-registered adviser

I••••••••• F•••••••• A••••••• I••

Former SEC-registered adviserMinneapolis, MinnesotaCRD 107500SEC 801-52182IAPD
Latest filing Mar 31, 2017
First filing on the tape Mar 30, 2012 · 6 filings
RAUM
$293M
reported, Item 5.F
Discretionary
0.0%
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
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$293M as of Mar 31, 2017
Mar 30, 2012$325M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2017
Mar 30, 20120 then
Employees (5.A)1 as of Mar 31, 2017
Apr 1, 20131 then
Private funds: no history
RAUM -11% over the last fiscal year+12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2017; 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
$146MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%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
-11%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 assets, fixed feesreportedItem 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
  • 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
2reported
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
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••••••••• R•••••• J••• · President & Chief Compliance Officercontrol
        since 12/1995 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 4 to 2
        Mar 29, 2016 to Mar 31, 2017
      • Financial planning clients · unset to 1-10
        Mar 29, 2016 to Mar 31, 2017
      • Non-discretionary RAUM · $330M to $293M
        Mar 29, 2016 to Mar 31, 2017
      • RAUM · $330M to $293M
        Mar 29, 2016 to Mar 31, 2017
      • Accounts · 5 to 4
        Mar 31, 2015 to Mar 29, 2016
      • Discretionary RAUM · $60.7M to $0
        Mar 31, 2015 to Mar 29, 2016
      • Non-discretionary RAUM · $220M to $330M
        Mar 31, 2015 to Mar 29, 2016
      • RAUM · $281M to $330M
        Mar 31, 2015 to Mar 29, 2016
      • Discretionary RAUM · $77.6M to $60.7M
        Mar 28, 2014 to Mar 31, 2015
      • Non-discretionary RAUM · $131M to $220M
        Mar 28, 2014 to Mar 31, 2015
      • RAUM · $209M to $281M
        Mar 28, 2014 to Mar 31, 2015
      • Discretionary RAUM · $91.1M to $77.6M
        Apr 1, 2013 to Mar 28, 2014
      • Non-discretionary RAUM · $152M to $131M
        Apr 1, 2013 to Mar 28, 2014
      • RAUM · $243M to $209M
        Apr 1, 2013 to Mar 28, 2014
      • Advisory employees · unset to 1.0
        Mar 30, 2012 to Apr 1, 2013
      • Employees · unset to 1.0
        Mar 30, 2012 to Apr 1, 2013
      • Discretionary RAUM · $134M to $91.1M
        Mar 30, 2012 to Apr 1, 2013
      • Non-discretionary RAUM · $192M to $152M
        Mar 30, 2012 to Apr 1, 2013
      • RAUM · $325M to $243M
        Mar 30, 2012 to Apr 1, 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