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
E•••••••• I••••••••
Legal name I••••••••• F•••••••• S••••••••• L••
Latest filing Jan 23, 2026
First filing on the tape Feb 28, 2012 · 29 filings
SEC status approved since May 31, 2000
RAUM
$242M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$239M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$242M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$242M as of Jan 23, 2026
Feb 28, 2012$110M then
HNW client RAUM$221M as of Jan 23, 2026
Jan 31, 2018$121M then
State-registered IARs (5.B.3)1 as of Jan 23, 2026
Feb 20, 20131 then
Employees (5.A)2 as of Jan 23, 2026
Feb 20, 20133 then
Private funds: no history
RAUM +10% over the last fiscal year+15% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jan 23, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $242MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 105derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $742,314derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 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
- +1.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $12.2M, 18 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$221M91%
- Individuals$18.1M7.5%
- Charitable organizations$2.8M1.2%
- Individual clients
- 33reported
- HNW clients
- 72reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 326reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $12.2M for 18 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• P•••••• G•••Certified Financial Planner, Chartered Financial Analyst | E••••••••, Mn | Nov 1, 2013 | 18 y | 0 |
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
- J••••• D••••• P•••• to P•••• F••••••••Jul 3, 2014 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••• J••••• P•••••• · Managing Member And Chief Compliance Officercontrolsince 05/2010 · 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 · 308 to 326Feb 5, 2025 to Jan 23, 2026
- HNW clients · 70 to 72Feb 5, 2025 to Jan 23, 2026
- Individual clients · 34 to 33Feb 5, 2025 to Jan 23, 2026
- Assets in custody · $12.0M to $12.2MFeb 5, 2025 to Jan 23, 2026
- Discretionary RAUM · $219M to $242MFeb 5, 2025 to Jan 23, 2026
- HNW RAUM · $200M to $221MFeb 5, 2025 to Jan 23, 2026
- Individual RAUM · $16.7M to $18.1MFeb 5, 2025 to Jan 23, 2026
- RAUM · $219M to $242MFeb 5, 2025 to Jan 23, 2026
- Accounts · 296 to 308Sep 26, 2024 to Feb 5, 2025
- HNW clients · 75 to 70Sep 26, 2024 to Feb 5, 2025
- Individual clients · 27 to 34Sep 26, 2024 to Feb 5, 2025
- Assets in custody · $10.6M to $12.0MSep 26, 2024 to Feb 5, 2025
- Financial planning clients · 51-100 to 51-100Sep 26, 2024 to Feb 5, 2025
- Discretionary RAUM · $182M to $219MSep 26, 2024 to Feb 5, 2025
- HNW RAUM · $168M to $200MSep 26, 2024 to Feb 5, 2025
- Individual RAUM · $11.6M to $16.7MSep 26, 2024 to Feb 5, 2025
- RAUM · $182M to $219MSep 26, 2024 to Feb 5, 2025
- Accounts · 292 to 296Feb 15, 2023 to Feb 10, 2024
- HNW clients · 70 to 75Feb 15, 2023 to Feb 10, 2024
- Individual clients · 10 to 27Feb 15, 2023 to Feb 10, 2024
- Assets in custody · $11.6M to $10.6MFeb 15, 2023 to Feb 10, 2024
- Discretionary RAUM · $160M to $182MFeb 15, 2023 to Feb 10, 2024
- HNW RAUM · $148M to $168MFeb 15, 2023 to Feb 10, 2024
- Individual RAUM · $10.4M to $11.6MFeb 15, 2023 to Feb 10, 2024
- RAUM · $160M to $182MFeb 15, 2023 to Feb 10, 2024
- Accounts · 410 to 292Oct 19, 2022 to Feb 8, 2023
- HNW clients · 57 to 70Oct 19, 2022 to Feb 8, 2023
- Individual clients · 36 to 10Oct 19, 2022 to Feb 8, 2023
- Assets in custody · $16.9M to $11.6MOct 19, 2022 to Feb 8, 2023
- Discretionary RAUM · $162M to $160MOct 19, 2022 to Feb 8, 2023
- HNW RAUM · $159M to $148MOct 19, 2022 to Feb 8, 2023
- Individual RAUM · $15.4M to $10.4MOct 19, 2022 to Feb 8, 2023
- Non-discretionary RAUM · $13.5M to $0Oct 19, 2022 to Feb 8, 2023
- RAUM · $176M to $160MOct 19, 2022 to Feb 8, 2023
- Accounts · 399 to 410Jan 20, 2021 to Jan 23, 2022
- HNW clients · 53 to 57Jan 20, 2021 to Jan 23, 2022
- Individual clients · 41 to 36Jan 20, 2021 to Jan 23, 2022
- Assets in custody · $12.0M to $16.9MJan 20, 2021 to Jan 23, 2022
- Discretionary RAUM · $135M to $162MJan 20, 2021 to Jan 23, 2022
- HNW RAUM · $136M to $159MJan 20, 2021 to Jan 23, 2022
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.
How to reach
public business contact points only, each with its source
- Business phone
- 952-941-2795reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- E••••••••INVESTORS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 952-941-2795reportedpublic record, Form ADV, Jan 23, 2026
- Team page
- e•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $242Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026