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•••••• C•••••• M•••••••••

Former SEC-registered adviserNorthfield, MinnesotaCRD 111414SEC 801-37202IAPD
Legal name C•••••• C•••••• M••••••••• I••
Latest filing Dec 23, 2015
First filing on the tape Mar 29, 2012 · 6 filings
RAUM
$1.2B
reported, Item 5.F
Discretionary
100%
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
32
14 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$1.2B as of Mar 30, 2015
Mar 29, 2012$836M then
HNW client RAUM: no history
State-registered IARs (5.B.3)11 as of Mar 30, 2015
Mar 25, 20130 then
Employees (5.A)32 as of Mar 30, 2015
Mar 25, 201324 then
Private funds: no history
RAUM +4.2% over the last fiscal year+14% a year over threeIARs 11 to 11
Practice profile
derived from the filing of Dec 23, 2015; every figure names its basis
RAUM per advisor
$111MderivedRAUM 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
$264,850derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.9derivedItem 5.A over advisors
Advisors per office
2.8derived4 offices incl. principal (1.F.5)
RAUM growth, one year
+4.2%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Financial planning clients
500reportedItem 5.H
Custody
$13.7M, 18 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person acts as qualified custodian (9.D.2)
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
4,628reported
Financial planning clients
500reported
Wrap fee programs
noreported
Custody of client assets
$13.7M for 18 clientsreported
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
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
    • C••••••• G••••••• A••• · Founder & Ceocontrol
      since 01/1988 · owns 25% to 50%
    • C••••••• J••••••• R••••• · Founder & Secretary/Treasurercontrol
      since 01/1988 · owns 25% to 50%
    • S••••• J•••••• D••••• · President & Chief Compliance Officercontrol
      since 01/2013 · owns 10% to 25%
    Related persons
    Schedule D 7.A
    • C•••••• T••••• A• T•••• R••••••••• O••••• O• N••••••• A••••••• T•••• C••••••• F••
      custodiann
    • C•• T•• • T••••
      insurancey
    • V•••••••• I•••
      real estatey
    Offices
    Schedule D 1.F, the 25 largest
    • Bloomington, MN
    • Hastings, MN
    • Rochester, MN
    What changed
    consecutive filings, newest first
    • Accounts · 4,344 to 4,628
      Mar 28, 2014 to Mar 30, 2015
    • Advisory employees · 12 to 14
      Mar 28, 2014 to Mar 30, 2015
    • BD registered reps · 1 to 0
      Mar 28, 2014 to Mar 30, 2015
    • Assets in custody · $38.7M to $13.7M
      Mar 28, 2014 to Mar 30, 2015
    • Employees · 26 to 32
      Mar 28, 2014 to Mar 30, 2015
    • Financial planning clients · 251-500 to More than 500
      Mar 28, 2014 to Mar 30, 2015
    • Discretionary RAUM · $1.2B to $1.2B
      Mar 28, 2014 to Mar 30, 2015
    • RAUM · $1.2B to $1.2B
      Mar 28, 2014 to Mar 30, 2015
    • Accounts · 4,106 to 4,344
      Mar 25, 2013 to Mar 28, 2014
    • Advisory employees · 13 to 12
      Mar 25, 2013 to Mar 28, 2014
    • BD registered reps · 0 to 1
      Mar 25, 2013 to Mar 28, 2014
    • Assets in custody · $41.7M to $38.7M
      Mar 25, 2013 to Mar 28, 2014
    • Employees · 24 to 26
      Mar 25, 2013 to Mar 28, 2014
    • State-registered IARs · 0 to 11
      Mar 25, 2013 to Mar 28, 2014
    • Discretionary RAUM · $1.0B to $1.2B
      Mar 25, 2013 to Mar 28, 2014
    • RAUM · $1.0B to $1.2B
      Mar 25, 2013 to Mar 28, 2014
    • Accounts · 3,659 to 4,106
      Mar 29, 2012 to Mar 25, 2013
    • Advisory employees · unset to 13.0
      Mar 29, 2012 to Mar 25, 2013
    • Assets in custody · $25.4M to $41.7M
      Mar 29, 2012 to Mar 25, 2013
    • Employees · unset to 24.0
      Mar 29, 2012 to Mar 25, 2013
    • Financial planning clients · 101-250 to 251-500
      Mar 29, 2012 to Mar 25, 2013
    • State-registered IARs · unset to 0.0
      Mar 29, 2012 to Mar 25, 2013
    • Discretionary RAUM · $836M to $1.0B
      Mar 29, 2012 to Mar 25, 2013
    • RAUM · $836M to $1.0B
      Mar 29, 2012 to Mar 25, 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