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.
SEC-registered adviser
D••••••• • C••
Legal name C• C• D••••••• • C••• I•••
Latest filing Mar 5, 2026
First filing on the tape Jan 26, 2012 · 27 filings
SEC status approved since Jun 1, 1979
RAUM
$393M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
81%
$318M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$98.2M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$393M as of Mar 5, 2026
Jan 26, 2012$162M then
HNW client RAUM$270M as of Mar 5, 2026
Mar 9, 2018$131M then
State-registered IARs (5.B.3)4 as of Mar 5, 2026
Mar 19, 20133 then
Employees (5.A)6 as of Mar 5, 2026
Mar 19, 20136 then
Private funds: no history
RAUM +0.2% over the last fiscal year+3.8% a year over threeIARs 5 to 4
Practice profile
derived from the filing of Mar 5, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $98.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 57derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $1.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 19%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.6%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$270M69%
- Charitable organizations$68.9M18%
- Individuals$48.0M12%
- Pension and profit-sharing plans$5.8M1.5%
- Individual clients
- 155reported
- HNW clients
- 73reported
- Pension plan clients
- 1reported
- Charitable clients
- 2reported
- Accounts
- 231reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.81 fund_share=0.0 institutional_share=0.19 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| H••••• N•••••• D•••••• | Minneapolis, Mn | Jan 13, 2014 | 12 y | 0 |
| C••••••••• R••••••••• D••••••Chartered Financial Analyst | Minneapolis, Mn | Jan 30, 2014 | 25 y | 0 |
| T••••• A•••• L••••• | Minneapolis, Mn | Jan 31, 2019 | 16 y | 1 |
| D••••• A••••• J•••••• | Minneapolis, Mn | Jan 10, 2021 | 46 y | 1 |
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 headcount1 left over 36 months
Left, latest
- A•••••••• K•• K•••••• to M••••••Aug 12, 2025 · RIA to affiliated broker-dealer or bank
Joined, latest
- D••••• A••••• J•••••• from C•••••• F•••••••• S••••••••• I••Jan 10, 2021 · RIA to RIA
- T••••• A•••• L••••• from T••••••• I••••••••• M••••••••• I•••Jan 31, 2019 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••• C••••••••• R••••••••• · Presidentcontrolsince 03/2001 · owns 75% or more
- H•••••• W•••••••• L•••• · Operations Manager & Chief Compliance Officersince 03/2005 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Minneapolis, Mn · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 243 to 231Mar 6, 2025 to Mar 5, 2026
- Advisory employees · 5 to 4Mar 6, 2025 to Mar 5, 2026
- HNW clients · 74 to 73Mar 6, 2025 to Mar 5, 2026
- Individual clients · 165 to 155Mar 6, 2025 to Mar 5, 2026
- Pension plan clients · 2 to 1Mar 6, 2025 to Mar 5, 2026
- Employees · 7 to 6Mar 6, 2025 to Mar 5, 2026
- State-registered IARs · 5 to 4Mar 6, 2025 to Mar 5, 2026
- Discretionary RAUM · $392M to $393MMar 6, 2025 to Mar 5, 2026
- HNW RAUM · $258M to $270MMar 6, 2025 to Mar 5, 2026
- Individual RAUM · $48.4M to $48.0MMar 6, 2025 to Mar 5, 2026
- Pension RAUM · $6.2M to $5.8MMar 6, 2025 to Mar 5, 2026
- RAUM · $392M to $393MMar 6, 2025 to Mar 5, 2026
- Accounts · 264 to 243Mar 14, 2024 to Mar 6, 2025
- HNW clients · 75 to 74Mar 14, 2024 to Mar 6, 2025
- Individual clients · 186 to 165Mar 14, 2024 to Mar 6, 2025
- Pension plan clients · 1 to 2Mar 14, 2024 to Mar 6, 2025
- Financial planning clients · 51-100 to 101-250Mar 14, 2024 to Mar 6, 2025
- Discretionary RAUM · $384M to $392MMar 14, 2024 to Mar 6, 2025
- HNW RAUM · $246M to $258MMar 14, 2024 to Mar 6, 2025
- Individual RAUM · $56.3M to $48.4MMar 14, 2024 to Mar 6, 2025
- Pension RAUM · $5.0M to $6.2MMar 14, 2024 to Mar 6, 2025
- RAUM · $384M to $392MMar 14, 2024 to Mar 6, 2025
- Accounts · 539 to 264Mar 20, 2023 to Mar 14, 2024
- Advisory employees · 4 to 5Mar 20, 2023 to Mar 14, 2024
- HNW clients · 68 to 75Mar 20, 2023 to Mar 14, 2024
- Individual clients · 188 to 186Mar 20, 2023 to Mar 14, 2024
- Pension plan clients · 2 to 1Mar 20, 2023 to Mar 14, 2024
- Discretionary RAUM · $351M to $384MMar 20, 2023 to Mar 14, 2024
- HNW RAUM · $220M to $246MMar 20, 2023 to Mar 14, 2024
- Individual RAUM · $56.6M to $56.3MMar 20, 2023 to Mar 14, 2024
- Pension RAUM · $4.7M to $5.0MMar 20, 2023 to Mar 14, 2024
- RAUM · $351M to $384MMar 20, 2023 to Mar 14, 2024
- Accounts · 544 to 539Mar 17, 2022 to Mar 20, 2023
- Advisory employees · 5 to 4Mar 17, 2022 to Mar 20, 2023
- Charity clients · 3 to 2Mar 17, 2022 to Mar 20, 2023
- HNW clients · 75 to 68Mar 17, 2022 to Mar 20, 2023
- Individual clients · 233 to 188Mar 17, 2022 to Mar 20, 2023
- Pension plan clients · 1 to 2Mar 17, 2022 to Mar 20, 2023
- Employees · 9 to 7Mar 17, 2022 to Mar 20, 2023
- State-registered IARs · 4 to 5Mar 17, 2022 to Mar 20, 2023
Signals
3 dated events
- A•••••••• K•• K•••••• left D••••••• • C•• for Mariner (registered 2025-09-25)Aug 12, 2025 · Advisor changed firm · fact
- D••••••• • C•• reported RAUM $401.1M, up 66% from $241.9M (2021-01-12 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- C Charles Dunnavan (Chairman Of The Board) no longer on Schedule A of D••••••• • C•• (listed 2021-01-12, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
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
- 612-630-1101reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/D•••••••COreportedpublic record, Form ADV, Sep 18, 2026
- Website
- D•••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (612) 630-1101reportedpublic record, Form ADV, Mar 5, 2026
- Contact form
- d•••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- d•••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $98.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026