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

C•••••• F•••••••• S••••••••• I••

Former SEC-registered adviserSt Paul, MinnesotaCRD 111124SEC 801-80916IAPD
Latest filing Jun 29, 2020
First filing on the tape Jun 22, 2012 · 14 filings
RAUM
$135M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$135M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$135M as of Dec 26, 2019
Jun 22, 2012$68.3M then
HNW client RAUM$74.2M as of Dec 26, 2019
Dec 20, 2017$77.1M then
State-registered IARs (5.B.3)2 as of Dec 26, 2019
Jun 22, 20120 then
Employees (5.A)3 as of Dec 26, 2019
Dec 28, 20153 then
Private funds: no history
RAUM -1.9% over the last fiscal year+3.9% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jun 29, 2020; every figure names its basis
RAUM per advisor
$67.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
224derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.1MderivedHNW RAUM over HNW clients
Average account
$300,986derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-1.9%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-4.9%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$74.2M55%
  • Individuals$60.6M45%
Individual clients
413reported
HNW clients
35reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
448reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • J••••••• D•••••• A••••• · Chief Executive Officercontrol
      since 09/2015 · owns 75% or more
    • H••••• J•••• F•••••• · Chief Compliance Officer
      since 12/2019 · owns less than 5%
    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 · 471 to 448
      Dec 27, 2018 to Dec 26, 2019
    • Individual clients · 436 to 413
      Dec 27, 2018 to Dec 26, 2019
    • Discretionary RAUM · $137M to $135M
      Dec 27, 2018 to Dec 26, 2019
    • HNW RAUM · $69.6M to $74.2M
      Dec 27, 2018 to Dec 26, 2019
    • Individual RAUM · $67.8M to $60.6M
      Dec 27, 2018 to Dec 26, 2019
    • RAUM · $137M to $135M
      Dec 27, 2018 to Dec 26, 2019
    • Accounts · 483 to 471
      Dec 20, 2017 to Dec 27, 2018
    • Advisory activities · 2 to 3
      Dec 20, 2017 to Dec 27, 2018
    • HNW clients · 27 to 35
      Dec 20, 2017 to Dec 27, 2018
    • Individual clients · 456 to 436
      Dec 20, 2017 to Dec 27, 2018
    • Discretionary RAUM · $123M to $137M
      Dec 20, 2017 to Dec 27, 2018
    • HNW RAUM · $77.1M to $69.6M
      Dec 20, 2017 to Dec 27, 2018
    • Individual RAUM · $45.5M to $67.8M
      Dec 20, 2017 to Dec 27, 2018
    • RAUM · $123M to $137M
      Dec 20, 2017 to Dec 27, 2018
    • Accounts · 467 to 483
      Jan 3, 2017 to Dec 20, 2017
    • Advisory activities · 3 to 2
      Jan 3, 2017 to Dec 20, 2017
    • Charity clients · unset to 0.0
      Jan 3, 2017 to Dec 20, 2017
    • Corporate clients · unset to 0.0
      Jan 3, 2017 to Dec 20, 2017
    • HNW clients · unset to 27.0
      Jan 3, 2017 to Dec 20, 2017
    • Individual clients · unset to 456.0
      Jan 3, 2017 to Dec 20, 2017
    • Pension plan clients · unset to 0.0
      Jan 3, 2017 to Dec 20, 2017
    • Pooled vehicle clients · unset to 0.0
      Jan 3, 2017 to Dec 20, 2017
    • Insurance-licensed employees · 1 to 0
      Jan 3, 2017 to Dec 20, 2017
    • Other offices · unset to 0.0
      Jan 3, 2017 to Dec 20, 2017
    • Discretionary RAUM · $120M to $123M
      Jan 3, 2017 to Dec 20, 2017
    • HNW RAUM · unset to 77120143.0
      Jan 3, 2017 to Dec 20, 2017
    • Individual RAUM · unset to 45505927.0
      Jan 3, 2017 to Dec 20, 2017
    • Pension RAUM · unset to 0.0
      Jan 3, 2017 to Dec 20, 2017
    • Pooled vehicle RAUM · unset to 0.0
      Jan 3, 2017 to Dec 20, 2017
    • RAUM · $120M to $123M
      Jan 3, 2017 to Dec 20, 2017
    • Accounts · 461 to 467
      Feb 5, 2016 to Jan 3, 2017
    • Insurance-licensed employees · 0 to 1
      Feb 5, 2016 to Jan 3, 2017
    • Discretionary RAUM · $110M to $120M
      Feb 5, 2016 to Jan 3, 2017
    • RAUM · $110M to $120M
      Feb 5, 2016 to Jan 3, 2017
    • Accounts · 444 to 461
      Dec 28, 2015 to Jan 4, 2016
    • Advisory employees · 1 to 2
      Dec 28, 2015 to Jan 4, 2016
    • State-registered IARs · 1 to 2
      Dec 28, 2015 to Jan 4, 2016
    • Discretionary RAUM · $108M to $110M
      Dec 28, 2015 to Jan 4, 2016
    • RAUM · $108M to $110M
      Dec 28, 2015 to Jan 4, 2016
    • Financial planning clients · 1-10 to 51-100
      Jan 23, 2015 to Dec 28, 2015
    Signals
    1 dated events
    • C•••••• F•••••••• S••••••••• I•• filed its initial SEC registration (Form ADV)
      Jan 23, 2015 · First SEC registration · fact
    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