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
G•• F•••••••• M••••••••• I•••
Latest filing Feb 20, 2026
First filing on the tape Apr 2, 2012 · 23 filings
SEC status approved since Aug 2, 2000
RAUM
$332M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
99%
$329M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$83.0M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$332M as of Feb 20, 2026
Apr 2, 2012$102M then
HNW client RAUM$273M as of Feb 20, 2026
Mar 13, 2018$104M then
State-registered IARs (5.B.3)3 as of Feb 20, 2026
Feb 22, 20130 then
Employees (5.A)3 as of Feb 20, 2026
Feb 22, 20133 then
Private funds: no history
RAUM -33% over the last fiscal year-6.7% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Feb 20, 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
- RAUM per advisor
- $83.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 62derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $283,605derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -33%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -46%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, publicationsreportedItem 5.G
- Custody
- $104M, 493 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$273M82%
- Individuals$55.1M17%
- Charitable organizations$3.3M1.0%
- Individual clients
- 133reported
- HNW clients
- 113reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,170reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $104M for 493 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
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••• C•••• M••••••Certified Financial Planner | Plymouth, Mn | Nov 26, 2013 | 37 y | 0 |
| B•••• L••• V••••••Certified Financial Planner | Plymouth, Mn | Mar 4, 2016 | 15 y | 0 |
| J••••• M••• M••••••••Certified Financial Planner | Plymouth, Mn | Mar 7, 2023 | 13 y | 0 |
| N••• S••••• S••••••Certified Financial Planner | Plymouth, Mn | May 5, 2026 | 11 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 headcount1 left over 36 months
Left, latest
- A•••• A••••• L••••••• to K•••••• L••••• A•••••••Jul 1, 2025 · RIA to a newly registered adviser
- K•••• J•••• O••••••••• to C••••• F•••••••• A•••••••• I•••Feb 15, 2018 · Other
- M••••••• J•••• T••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Aug 21, 2014 · Other
Joined, latest
- A•••• A••••• L••••••• from A••••••••• F•••••••• S•••••••• L••Sep 25, 2018 · Affiliated broker-dealer or bank to independent RIA
- K•••• J•••• O••••••••• from A••••••• F•••••••• L••Mar 10, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••••••• A••••• A••••• · Chief Investment Officercontrolsince 04/2018 · owns 25% to 50%
- M••••••• E•••• C•••• · President/Chief Compliance Officercontrolsince 02/1998 · owns 75% or more
- V••••••• B••••• L••• · Principal/Financial Advisorcontrolsince 05/2019 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Plymouth, Mn · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- client count collapseChange between filings · filing Feb 20, 2026individual and HNW clients (Item 5.D) moved from 453.0 to 246.0 (-46.0%) between the annual amendments of 2025-04-04 and 2026-02-20; the peer median change was +3.0% (3309 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 2.1% percentile
- RAUM down 25 %Change between filings · filing Feb 20, 2026RAUM (Item 5.F) moved from $496,527,070 to $331,817,781 (-33.0%) between the annual amendments of 2025-04-04 and 2026-02-20; the peer median change was +15.0% (4550 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 1.1% percentile
- account count collapseChange between filings · filing Feb 20, 2026accounts (Item 5.F.2.f) moved from 2,126.0 to 1,170.0 (-45.0%) between the annual amendments of 2025-04-04 and 2026-02-20; the peer median change was +5.0% (3687 comparable advisers, 3.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 3.4% percentile
What changed
consecutive filings, newest first
- Accounts · 2,126 to 1,170Sep 23, 2025 to Feb 20, 2026
- HNW clients · 173 to 113Sep 23, 2025 to Feb 20, 2026
- Individual clients · 280 to 133Sep 23, 2025 to Feb 20, 2026
- Assets in custody · $280M to $104MSep 23, 2025 to Feb 20, 2026
- Discretionary RAUM · $467M to $317MSep 23, 2025 to Feb 20, 2026
- HNW RAUM · $362M to $273MSep 23, 2025 to Feb 20, 2026
- Individual RAUM · $131M to $55.1MSep 23, 2025 to Feb 20, 2026
- Non-discretionary RAUM · $29.7M to $14.8MSep 23, 2025 to Feb 20, 2026
- RAUM · $497M to $332MSep 23, 2025 to Feb 20, 2026
- Financial planning clients · 0 to 0Jul 23, 2025 to Sep 23, 2025
- Advisory employees · 4 to 3Apr 4, 2025 to Jul 23, 2025
- Employees · 4 to 3Apr 4, 2025 to Jul 23, 2025
- State-registered IARs · 4 to 3Apr 4, 2025 to Jul 23, 2025
- Accounts · 1,992 to 2,126Apr 23, 2024 to Apr 4, 2025
- Advisory employees · 5 to 4Apr 23, 2024 to Apr 4, 2025
- HNW clients · 161 to 173Apr 23, 2024 to Apr 4, 2025
- Individual clients · 271 to 280Apr 23, 2024 to Apr 4, 2025
- Pension plan clients · 19.0 to unsetApr 23, 2024 to Apr 4, 2025
- Assets in custody · $129M to $280MApr 23, 2024 to Apr 4, 2025
- Employees · 5 to 4Apr 23, 2024 to Apr 4, 2025
- Financial planning clients · 1-10 to 0Apr 23, 2024 to Apr 4, 2025
- State-registered IARs · 5 to 4Apr 23, 2024 to Apr 4, 2025
- Discretionary RAUM · $413M to $467MApr 23, 2024 to Apr 4, 2025
- HNW RAUM · $303M to $362MApr 23, 2024 to Apr 4, 2025
- Individual RAUM · $101M to $131MApr 23, 2024 to Apr 4, 2025
- Non-discretionary RAUM · $17.8M to $29.7MApr 23, 2024 to Apr 4, 2025
- Pension RAUM · 27111501.0 to unsetApr 23, 2024 to Apr 4, 2025
- RAUM · $431M to $497MApr 23, 2024 to Apr 4, 2025
- Advisory employees · 4 to 5Feb 21, 2024 to Apr 23, 2024
- Employees · 4 to 5Feb 21, 2024 to Apr 23, 2024
- Financial planning clients · 0 to 1-10Feb 21, 2024 to Apr 23, 2024
- State-registered IARs · 4 to 5Feb 21, 2024 to Apr 23, 2024
- Accounts · 1,710 to 1,992Aug 21, 2023 to Feb 21, 2024
- HNW clients · 128 to 161Aug 21, 2023 to Feb 21, 2024
- Individual clients · 317 to 271Aug 21, 2023 to Feb 21, 2024
- Assets in custody · $133M to $129MAug 21, 2023 to Feb 21, 2024
- Discretionary RAUM · $379M to $413MAug 21, 2023 to Feb 21, 2024
- HNW RAUM · $285M to $303MAug 21, 2023 to Feb 21, 2024
- Individual RAUM · $98.2M to $101MAug 21, 2023 to Feb 21, 2024
- Non-discretionary RAUM · $29.7M to $17.8MAug 21, 2023 to Feb 21, 2024
Signals
4 dated events
- G•• F•••••••• M••••••••• I••• reported RAUM $331.8M, down 33% from $496.5M (2025-09-23 to 2026-02-20)Feb 20, 2026 · RAUM change · derived
- A•••• A••••• L••••••• left G•• F•••••••• M••••••••• I••• for K•••••• L••••• A••••••• (registered 2025-03-26)Jul 1, 2025 · Advisor changed firm · fact
- Andrew Aaron Lindberg (Chief Investment Officer) appeared on Schedule A of G•• F•••••••• M••••••••• I•••Mar 31, 2020 · Control person joined · fact
- Lynn Bryan Vancura (Principal/Financial Advisor) appeared on Schedule A of G•• F•••••••• M••••••••• I•••Mar 31, 2020 · Control person joined · fact
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
- 952-513-1466reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/gen-financial-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 952-513-1466reportedpublic record, Form ADV, Feb 20, 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
- $83.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026