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
S••••••• V••••••••• I•••
Legal name S••••••• V••••••••• I••
Latest filing Mar 26, 2026
First filing on the tape Mar 15, 2012 · 16 filings
SEC status approved since Feb 15, 1996
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
16 filings and snapshots on the tape
RAUM$0 as of Mar 26, 2026
Mar 18, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2026
Mar 13, 20130 then
Employees (5.A)3 as of Mar 26, 2026
Mar 13, 201312 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
Archetypes, each a printed rule
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, 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
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- pension consultingreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
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
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 97reported
- Charitable clients
- 0reported
- Accounts
- 0reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E••••• A•••••• D•••• · Chief Executive Officercontrolsince 12/2022 · owns less than 5%
- E••••• D••••• D•••• · Owner/Chief Compliance Officercontrolsince 11/2022 · owns 75% or more
- E••••• R••••••• L••• · Presidentcontrolsince 11/2009 · 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
- Pension plan clients · 92 to 97Mar 18, 2025 to Mar 26, 2026
- Accounts · unset to 0.0Mar 19, 2024 to Mar 18, 2025
- Financial planning clients · unset to Mar 19, 2024 to Mar 18, 2025
- Discretionary RAUM · unset to 0.0Mar 19, 2024 to Mar 18, 2025
- Non-discretionary RAUM · unset to 0.0Mar 19, 2024 to Mar 18, 2025
- RAUM · unset to 0.0Mar 19, 2024 to Mar 18, 2025
- HQ city · ST PAUL to WHITE BEAR LAKEFeb 13, 2023 to Mar 19, 2024
- Pension plan clients · 91 to 92Feb 7, 2022 to Feb 13, 2023
- Advisory employees · 2 to 3Mar 22, 2021 to Feb 7, 2022
- Pension plan clients · 93 to 91Mar 22, 2021 to Feb 7, 2022
- Employees · 2 to 3Mar 22, 2021 to Feb 7, 2022
- Pension plan clients · 90 to 93Mar 30, 2020 to Mar 22, 2021
- Corporate clients · 3 to 2Feb 23, 2018 to Mar 27, 2019
- Pension plan clients · 88 to 90Feb 23, 2018 to Mar 27, 2019
- Charity clients · unset to 0.0Feb 2, 2017 to Feb 23, 2018
- Corporate clients · unset to 3.0Feb 2, 2017 to Feb 23, 2018
- HNW clients · unset to 0.0Feb 2, 2017 to Feb 23, 2018
- Individual clients · unset to 0.0Feb 2, 2017 to Feb 23, 2018
- Pension plan clients · unset to 88.0Feb 2, 2017 to Feb 23, 2018
- Pooled vehicle clients · unset to 0.0Feb 2, 2017 to Feb 23, 2018
- Other offices · unset to 0.0Feb 2, 2017 to Feb 23, 2018
- Pension RAUM · unset to 0.0Feb 2, 2017 to Feb 23, 2018
- Employees · 4 to 2Mar 24, 2014 to Mar 26, 2015
- Employees · 12 to 4Mar 13, 2013 to Mar 24, 2014
- Advisory employees · unset to 2.0Mar 19, 2012 to Mar 13, 2013
- Employees · unset to 12.0Mar 19, 2012 to Mar 13, 2013
- State-registered IARs · unset to 0.0Mar 19, 2012 to Mar 13, 2013
Signals
3 dated events
- D•••• A••••• E•••• (Chief Executive Officer) appeared on Schedule A of S••••••• V••••••••• I•••Feb 13, 2023 · Control person joined · fact
- Corkrum Shari D•••• (Owner) no longer on Schedule A of S••••••• V••••••••• I••• (listed 2022-02-07, absent 2023-02-13)Feb 13, 2023 · Control person left · inference
- Dean Clarence D•••• (Owner) no longer on Schedule A of S••••••• V••••••••• I••• (listed 2021-03-22, absent 2022-02-07)Feb 7, 2022 · Control person left · inference
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
- Website
- S•••••••V•••••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 651-690-5441reportedpublic record, Form ADV, Mar 26, 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
- No RAUM reportedderiveda 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