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3• I••••••••• M••••••••• C•••

Former SEC-registered adviserFormer SEC adviser· St Paul, Minnesota

Former SEC-registered adviser, based in St Paul, Minnesota, reporting $34B of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2018-06-15 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $34B
Advisors: Not applicable
Net advisor flow, 12 months: Not applicable
RAUM change, last fiscal year: +13%
Private clients: 0.0% of RAUM

Advisors Advisor movement Where the RAUM sits

As of 2018-06-15 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What we can say about this record

We hold 9 Form ADV filings for this adviser, the latest 8.3 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 109098 · SEC 801-56850 · 9 filingsShow

CRD 109098SEC 801-56850First filing on the tape Mar 15, 2012, latest Jun 15, 2018IAPD

RAUM

$34B

reported, Item 5.F

Discretionary

91%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

8 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

9 filings and snapshots on the tape

RAUM$34B as of Mar 30, 2018

Mar 15, 2012$23B then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 30, 2018

Mar 15, 20120 then

Employees (5.A)8 as of Mar 30, 2018

Mar 27, 20138 then

Private funds: no history

RAUM +13% over the last fiscal year+3.8% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Jun 15, 2018; 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: $3.1BderivedRAUM over accounts (5.F.2.f)
Discretionary: 91%derivedof RAUM
Institutional: 98%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year: +13%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: otherreportedItem 5.E
Advisory activities: portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Custody: $34B, 11 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

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)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pension and profit-sharing plans$33B100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: 9reported
Charitable clients: n/areported
Accounts: 11reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $34B for 11 clientsreported
Compensation: n/areported
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 departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

D•••••• D•••••• P• · Presidentcontrol
since 05/2003 · owns less than 5%
G•••••• M••••••• J• · Directorcontrol
since 08/2015 · owns less than 5%
L•••••• G••••• M•••••• · Directorcontrol
since 05/2012 · owns less than 5%
O••••••••• H••••••• E•••••••• · Vice President & Secretarycontrol
since 07/2014 · owns less than 5%
O••••••••• D••••• J••• · Chief Compliance Officercontrol
since 08/2015 · owns less than 5%
P•••• J••• P••••• E•••••• · Vice Presidentcontrol
since 01/2010 · owns less than 5%
R•••••• J•••••••• F• · Directorcontrol
since 10/2015 · owns less than 5%
S••••••• W••••••• C•••••• · Vice Presidentcontrol
since 08/2011 · owns less than 5%

Entity owners

3• C•••••• · Stockholder
direct · owns 75% or more · public reporting company

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 · 12 to 11
Mar 28, 2017 to Mar 30, 2018
Advisory employees · 10 to 8
Mar 28, 2017 to Mar 30, 2018
Pension plan clients · unset to 9.0
Mar 28, 2017 to Mar 30, 2018
Assets in custody · unset to 33832000000.0
Mar 28, 2017 to Mar 30, 2018
Custody of client assets · false to true
Mar 28, 2017 to Mar 30, 2018
Employees · 10 to 8
Mar 28, 2017 to Mar 30, 2018
Other offices · unset to 1.0
Mar 28, 2017 to Mar 30, 2018
Discretionary RAUM · $27B to $31B
Mar 28, 2017 to Mar 30, 2018
Non-discretionary RAUM · $2.5B to $3.0B
Mar 28, 2017 to Mar 30, 2018
Pension RAUM · unset to 33068000000.0
Mar 28, 2017 to Mar 30, 2018
RAUM · $30B to $34B
Mar 28, 2017 to Mar 30, 2018
Advisory employees · 9 to 10
Mar 30, 2016 to Mar 28, 2017
Employees · 9 to 10
Mar 30, 2016 to Mar 28, 2017
Discretionary RAUM · $27B to $27B
Mar 30, 2016 to Mar 28, 2017
Non-discretionary RAUM · $2.7B to $2.5B
Mar 30, 2016 to Mar 28, 2017
RAUM · $29B to $30B
Mar 30, 2016 to Mar 28, 2017
Accounts · 13 to 12
Sep 30, 2015 to Mar 30, 2016
Advisory employees · 8 to 9
Sep 30, 2015 to Mar 30, 2016
Employees · 8 to 9
Sep 30, 2015 to Mar 30, 2016
Discretionary RAUM · $28B to $27B
Sep 30, 2015 to Mar 30, 2016
Non-discretionary RAUM · $2.4B to $2.7B
Sep 30, 2015 to Mar 30, 2016
RAUM · $30B to $29B
Sep 30, 2015 to Mar 30, 2016
Discretionary RAUM · $26B to $28B
Mar 28, 2014 to Mar 30, 2015
Non-discretionary RAUM · $2.2B to $2.4B
Mar 28, 2014 to Mar 30, 2015
RAUM · $28B to $30B
Mar 28, 2014 to Mar 30, 2015
Accounts · 12 to 13
Mar 27, 2013 to Mar 28, 2014
Discretionary RAUM · $24B to $26B
Mar 27, 2013 to Mar 28, 2014
Non-discretionary RAUM · $2.0B to $2.2B
Mar 27, 2013 to Mar 28, 2014
RAUM · $26B to $28B
Mar 27, 2013 to Mar 28, 2014
Advisory employees · unset to 8.0
Mar 15, 2012 to Mar 27, 2013
Employees · unset to 8.0
Mar 15, 2012 to Mar 27, 2013
Discretionary RAUM · $22B to $24B
Mar 15, 2012 to Mar 27, 2013
Non-discretionary RAUM · $1.7B to $2.0B
Mar 15, 2012 to Mar 27, 2013
RAUM · $23B to $26B
Mar 15, 2012 to Mar 27, 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