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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Former SEC-registered adviser

W••• F•••••••• G•••• I••

Former SEC-registered adviserMinneapolis, MinnesotaCRD 109667SEC 801-47676IAPD
Latest filing Mar 29, 2016
First filing on the tape Apr 9, 2012 · 12 filings
RAUM
$186M
reported, Item 5.F
Discretionary
86%
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
8
4 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$186M as of Mar 29, 2016
Apr 9, 2012$258M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2016
Apr 9, 20120 then
Employees (5.A)8 as of Mar 29, 2016
Feb 28, 20136 then
Private funds: no history
RAUM -8.3% over the last fiscal year-10% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2016; 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
$352,766derivedRAUM over accounts (5.F.2.f)
Discretionary
86%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
-8.3%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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, otherreportedItem 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)
  • 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
528reported
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
Joined, latest
none on the tape
    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
      • W•••• J••••• B••••••• · President And Chief Compliance Officercontrol
        since 12/1993 · 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 · 535 to 528
        Mar 2, 2015 to Mar 29, 2016
      • Discretionary RAUM · $167M to $160M
        Mar 2, 2015 to Mar 29, 2016
      • Non-discretionary RAUM · $36.2M to $26.1M
        Mar 2, 2015 to Mar 29, 2016
      • RAUM · $203M to $186M
        Mar 2, 2015 to Mar 29, 2016
      • Accounts · 572 to 535
        Jul 21, 2014 to Mar 2, 2015
      • Advisory employees · 5 to 4
        Jul 21, 2014 to Mar 2, 2015
      • Advisory activities · 4 to 3
        Jul 21, 2014 to Mar 2, 2015
      • Employees · 10 to 8
        Jul 21, 2014 to Mar 2, 2015
      • Discretionary RAUM · $186M to $167M
        Jul 21, 2014 to Mar 2, 2015
      • Non-discretionary RAUM · $18.2M to $36.2M
        Jul 21, 2014 to Mar 2, 2015
      • RAUM · $204M to $203M
        Jul 21, 2014 to Mar 2, 2015
      • Accounts · 701 to 572
        Oct 25, 2013 to Mar 3, 2014
      • Discretionary RAUM · $194M to $186M
        Oct 25, 2013 to Mar 3, 2014
      • Non-discretionary RAUM · $64.6M to $18.2M
        Oct 25, 2013 to Mar 3, 2014
      • RAUM · $258M to $204M
        Oct 25, 2013 to Mar 3, 2014
      • Employees · 6 to 10
        Feb 28, 2013 to Mar 20, 2013
      • Accounts · 717 to 701
        Apr 9, 2012 to Feb 28, 2013
      • Advisory employees · unset to 5.0
        Apr 9, 2012 to Feb 28, 2013
      • Employees · unset to 6.0
        Apr 9, 2012 to Feb 28, 2013
      • Discretionary RAUM · $183M to $194M
        Apr 9, 2012 to Feb 28, 2013
      • Non-discretionary RAUM · $75.1M to $64.6M
        Apr 9, 2012 to Feb 28, 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