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

F•••••••• M••••••••• G•••• L••

Former SEC-registered adviserEdina, MinnesotaCRD 110943SEC 801-18217IAPD
Latest filing Nov 10, 2017
First filing on the tape Dec 15, 2011 · 10 filings
RAUM
$162M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
76%
$123M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$162M as of Aug 22, 2017
Aug 29, 2012$118M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 22, 2017
Aug 29, 20120 then
Employees (5.A)4 as of Aug 22, 2017
Aug 16, 20131 then
Private funds: no history
RAUM +21% over the last fiscal year+7.8% a year over threeIARs 0 to 1
Practice profile
derived from the filing of Nov 10, 2017; every figure names its basis
RAUM per advisor
$162MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
74derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.0MderivedHNW RAUM over HNW clients
Average account
$791,368derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
24%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+21%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 assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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
  • High-net-worth individuals$106M65%
  • Charitable organizations$19.8M12%
  • Pension and profit-sharing plans$18.9M12%
  • Individuals$17.2M11%
  • Corporations and businesses$690,6720.4%
Individual clients
39reported
HNW clients
35reported
Pension plan clients
3reported
Charitable clients
5reported
Accounts
205reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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 departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • P•••••••• D•••••• N••••• · Directorcontrol
        since 07/2017 · owns less than 5%
      • P•••••••• S•••••• E•••••••• · Trusteecontrol
        since 06/2017 · owns 50% to 75%
      • P•••••••• D•••••• N••••• · Trusteecontrol
        since 06/2017 · owns 50% to 75% of S•••••• P••••••• Trust
      • P•••••••• S•••••• E•••••••• · Trusteecontrol
        since 06/2017 · owns 50% to 75% of S•••••• P••••••• Trust
      • A•••••••• R•••• J••• · Chief Compliance Officer
        since 06/2017 · owns less than 5%
      Entity owners
      • S•••••• D• P••••••• R•••••••• T•••• A•••••••• D•••• 1••••••••• · Trust
        direct · 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 · 215 to 205
        Aug 22, 2017 to Nov 8, 2017
      • Charity clients · unset to 5.0
        Aug 22, 2017 to Nov 8, 2017
      • Corporate clients · unset to 1.0
        Aug 22, 2017 to Nov 8, 2017
      • HNW clients · unset to 35.0
        Aug 22, 2017 to Nov 8, 2017
      • Individual clients · unset to 39.0
        Aug 22, 2017 to Nov 8, 2017
      • Pension plan clients · unset to 3.0
        Aug 22, 2017 to Nov 8, 2017
      • Pooled vehicle clients · unset to 0.0
        Aug 22, 2017 to Nov 8, 2017
      • State-registered IARs · 0 to 1
        Aug 22, 2017 to Nov 8, 2017
      • Other offices · unset to 0.0
        Aug 22, 2017 to Nov 8, 2017
      • Discretionary RAUM · $162M to $162M
        Aug 22, 2017 to Nov 8, 2017
      • HNW RAUM · unset to 105665627.0
        Aug 22, 2017 to Nov 8, 2017
      • Individual RAUM · unset to 17175046.0
        Aug 22, 2017 to Nov 8, 2017
      • Pension RAUM · unset to 18926307.0
        Aug 22, 2017 to Nov 8, 2017
      • RAUM · $162M to $162M
        Aug 22, 2017 to Nov 8, 2017
      • Accounts · 197 to 215
        Sep 1, 2016 to Aug 22, 2017
      • Advisory employees · 1 to 2
        Sep 1, 2016 to Aug 22, 2017
      • Employees · 1 to 4
        Sep 1, 2016 to Aug 22, 2017
      • Discretionary RAUM · $134M to $162M
        Sep 1, 2016 to Aug 22, 2017
      • RAUM · $134M to $162M
        Sep 1, 2016 to Aug 22, 2017
      • Accounts · 217 to 197
        Aug 28, 2015 to Sep 1, 2016
      • Discretionary RAUM · $136M to $134M
        Aug 28, 2015 to Sep 1, 2016
      • RAUM · $136M to $134M
        Aug 28, 2015 to Sep 1, 2016
      • Accounts · 219 to 217
        Jul 30, 2014 to Aug 28, 2015
      • Discretionary RAUM · $130M to $136M
        Jul 30, 2014 to Aug 28, 2015
      • RAUM · $130M to $136M
        Jul 30, 2014 to Aug 28, 2015
      • Accounts · 210 to 219
        Aug 16, 2013 to Jul 30, 2014
      • Discretionary RAUM · $109M to $130M
        Aug 16, 2013 to Jul 30, 2014
      • RAUM · $109M to $130M
        Aug 16, 2013 to Jul 30, 2014
      • Accounts · 215 to 210
        Aug 29, 2012 to Aug 16, 2013
      • Advisory employees · unset to 1.0
        Aug 29, 2012 to Aug 16, 2013
      • Employees · unset to 1.0
        Aug 29, 2012 to Aug 16, 2013
      • Discretionary RAUM · $118M to $109M
        Aug 29, 2012 to Aug 16, 2013
      • RAUM · $118M to $109M
        Aug 29, 2012 to Aug 16, 2013
      • Accounts · 201 to 215
        Apr 11, 2012 to Aug 29, 2012
      • Discretionary RAUM · $126M to $118M
        Apr 11, 2012 to Aug 29, 2012
      • RAUM · $126M to $118M
        Apr 11, 2012 to Aug 29, 2012
      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