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Former SEC-registered adviser

S••••••••• M••••••••• G••••• L••

Former SEC-registered adviserBuffalo, MinnesotaCRD 113242SEC 801-60344IAPD
Latest filing Dec 26, 2013
First filing on the tape Dec 16, 2011 · 8 filings
RAUM
$76.6M
reported, Item 5.F
Discretionary
74%
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
11
11 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$76.6M as of Mar 22, 2013
Mar 15, 2012$127M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 22, 2013
Mar 15, 20120 then
Employees (5.A): 11
Private funds: no history
RAUM -40% over the last fiscal yearIARs 0 to 2
Practice profile
derived from the filing of Dec 26, 2013; every figure names its basis
RAUM per advisor
$38.3MderivedRAUM 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
$40,199derivedRAUM over accounts (5.F.2.f)
Discretionary
74%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
5.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-40%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 assets, hourly, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, educational seminars, otherreportedItem 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
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
1,906reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, commissionsreported
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
    • D••••••••• M••••••• J••• · President/Chief Manager/Chief Compliance Officer/Managing Membercontrol
      since 02/2001 · owns 75% or more
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 2,682 to 1,906
      Nov 7, 2012 to Mar 22, 2013
    • Advisory employees · 12 to 11
      Nov 7, 2012 to Mar 22, 2013
    • BD registered reps · 7 to 6
      Nov 7, 2012 to Mar 22, 2013
    • Employees · 12 to 11
      Nov 7, 2012 to Mar 22, 2013
    • Discretionary RAUM · $83.5M to $57.0M
      Nov 7, 2012 to Mar 22, 2013
    • Non-discretionary RAUM · $43.6M to $19.6M
      Nov 7, 2012 to Mar 22, 2013
    • RAUM · $127M to $76.6M
      Nov 7, 2012 to Mar 22, 2013
    • Advisory employees · unset to 12.0
      Oct 23, 2012 to Nov 7, 2012
    • BD registered reps · unset to 7.0
      Oct 23, 2012 to Nov 7, 2012
    • Employees · unset to 12.0
      Oct 23, 2012 to Nov 7, 2012
    • State-registered IARs · 0 to 2
      Oct 23, 2012 to Nov 7, 2012
    • Related adviser · false to true
      Mar 15, 2012 to Oct 11, 2012
    • Accounts · 617 to 2,682
      Dec 16, 2011 to Mar 15, 2012
    • Advisory activities · 4 to 5
      Dec 16, 2011 to Mar 15, 2012
    • Insurance-licensed employees · unset to 4.0
      Dec 16, 2011 to Mar 15, 2012
    • Discretionary RAUM · $25.4M to $83.5M
      Dec 16, 2011 to Mar 15, 2012
    • Non-discretionary RAUM · $42,480 to $43.6M
      Dec 16, 2011 to Mar 15, 2012
    • RAUM · $25.4M to $127M
      Dec 16, 2011 to Mar 15, 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