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•••••••• D••••••••• G••••• I•••

Former SEC-registered adviserArden Hills, MinnesotaCRD 115143SEC 801-77285IAPD
Latest filing Mar 4, 2024
First filing on the tape Oct 17, 2012 · 45 filings
RAUM
$2.6B
reported, Item 5.F
Discretionary
81%
of RAUM
Private clients
97%
$2.5B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
49
49 advisory (5.B.1)
Offices
9
beyond the principal office
Private funds
0
reported on Schedule D
History
45 filings and snapshots on the tape
RAUM$2.6B as of Mar 4, 2024
Feb 25, 2013$369M then
HNW client RAUM$1.4B as of Mar 4, 2024
Mar 19, 2018$241M then
State-registered IARs (5.B.3)36 as of Mar 4, 2024
Feb 25, 201315 then
Employees (5.A)49 as of Mar 4, 2024
Feb 25, 201335 then
Private funds: no history
RAUM +19% over the last fiscal year+12% a year over threeIARs 49 to 36offices 10 to 9
Practice profile
derived from the filing of Mar 4, 2024; every figure names its basis
RAUM per advisor
$72.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
115derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.9MderivedHNW RAUM over HNW clients
Average account
$285,970derivedRAUM over accounts (5.F.2.f)
Discretionary
81%derivedof RAUM
Institutional
2.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.4derivedItem 5.A over advisors
Advisors per office
3.6derived10 offices incl. principal (1.F.5)
RAUM growth, one year
+19%derivedbetween the last two annual amendments
Advisor growth, one year
-27%derivedItem 5.B.3 between annual amendments
Client growth, one year
+6.5%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
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$1.4B53%
  • Individuals$1.1B44%
  • Charitable organizations$64.4M2.5%
  • Corporations and businesses$6.2M0.2%
  • Pension and profit-sharing plans$5.6M0.2%
Individual clients
3,426reported
HNW clients
712reported
Pension plan clients
n/areported
Charitable clients
20reported
Accounts
9,105reported
Financial planning clients
101-250reported
Wrap fee programs
$0 sponsored, $566M managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Joined, latest
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
  • A•••••••• G••••• R•••••• · President, Director, Ccocontrol
    since 05/1995 · owns 50% to 75%
  • P••••••• G•••••• J••• · Director, Secretary, Treasurercontrol
    since 05/1995 · owns 50% to 75%
Related persons
Schedule D 7.A
  • W•••••• M• H•••••
    y
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Arden Hills, Mn · principal000
Little Canada, Mn000
Sheridan, Wy000
Maple Grove, Mn000
New Brighton, Mn000
Offices
Schedule D 1.F, the 25 largest
  • New Brighton, MN13 employees
  • Maple Grove, MN11 employees
  • Sheridan, WY4 employees
  • Little Canada, MN3 employees
  • Littleton, CO2 employees
  • Sauk Centre, MN1 employees
  • , 1 employees
  • Gilbert, AZ1 employees
  • , 1 employees
What changed
consecutive filings, newest first
  • Accounts · 8,547 to 9,105
    Nov 1, 2023 to Mar 4, 2024
  • Advisory employees · 51 to 49
    Nov 1, 2023 to Mar 4, 2024
  • BD registered reps · 51 to 49
    Nov 1, 2023 to Mar 4, 2024
  • Charity clients · 18 to 20
    Nov 1, 2023 to Mar 4, 2024
  • Corporate clients · 12 to 14
    Nov 1, 2023 to Mar 4, 2024
  • HNW clients · 612 to 712
    Nov 1, 2023 to Mar 4, 2024
  • Individual clients · 3,274 to 3,426
    Nov 1, 2023 to Mar 4, 2024
  • Employees · 51 to 49
    Nov 1, 2023 to Mar 4, 2024
  • State-registered IARs · 49 to 36
    Nov 1, 2023 to Mar 4, 2024
  • Other offices · 11 to 9
    Nov 1, 2023 to Mar 4, 2024
  • Discretionary RAUM · $1.7B to $2.1B
    Nov 1, 2023 to Mar 4, 2024
  • HNW RAUM · $1.1B to $1.4B
    Nov 1, 2023 to Mar 4, 2024
  • Individual RAUM · $1.0B to $1.1B
    Nov 1, 2023 to Mar 4, 2024
  • Non-discretionary RAUM · $448M to $488M
    Nov 1, 2023 to Mar 4, 2024
  • Pension RAUM · $4.7M to $5.6M
    Nov 1, 2023 to Mar 4, 2024
  • RAUM · $2.2B to $2.6B
    Nov 1, 2023 to Mar 4, 2024
  • Wrap assets (manager) · $529M to $566M
    Nov 1, 2023 to Mar 4, 2024
  • Other offices · 10 to 11
    Mar 2, 2023 to Jun 19, 2023
  • Accounts · 7,708 to 8,547
    Jul 14, 2022 to Mar 2, 2023
  • Advisory employees · 48 to 51
    Jul 14, 2022 to Mar 2, 2023
  • BD registered reps · 48 to 51
    Jul 14, 2022 to Mar 2, 2023
  • Charity clients · 15 to 18
    Jul 14, 2022 to Mar 2, 2023
  • Corporate clients · 8 to 12
    Jul 14, 2022 to Mar 2, 2023
  • HNW clients · 697 to 612
    Jul 14, 2022 to Mar 2, 2023
  • Individual clients · 2,865 to 3,274
    Jul 14, 2022 to Mar 2, 2023
  • Employees · 48 to 51
    Jul 14, 2022 to Mar 2, 2023
  • State-registered IARs · 45 to 49
    Jul 14, 2022 to Mar 2, 2023
  • Other offices · 9 to 10
    Jul 14, 2022 to Mar 2, 2023
  • Discretionary RAUM · $1.7B to $1.7B
    Jul 14, 2022 to Mar 2, 2023
  • HNW RAUM · $1.3B to $1.1B
    Jul 14, 2022 to Mar 2, 2023
  • Individual RAUM · $939M to $1.0B
    Jul 14, 2022 to Mar 2, 2023
  • Non-discretionary RAUM · $497M to $448M
    Jul 14, 2022 to Mar 2, 2023
  • Pension RAUM · $5.3M to $4.7M
    Jul 14, 2022 to Mar 2, 2023
  • RAUM · $2.2B to $2.2B
    Jul 14, 2022 to Mar 2, 2023
  • Wrap assets (manager) · $683M to $529M
    Jul 14, 2022 to Mar 2, 2023
  • Accounts · 6,593 to 7,708
    Jul 26, 2021 to Mar 3, 2022
  • Advisory employees · 43 to 48
    Jul 26, 2021 to Mar 3, 2022
  • BD registered reps · 43 to 48
    Jul 26, 2021 to Mar 3, 2022
  • Charity clients · 11 to 15
    Jul 26, 2021 to Mar 3, 2022
  • Corporate clients · 6 to 8
    Jul 26, 2021 to Mar 3, 2022
Signals
27 dated events
  • 3 advisors left O•••• W•••••• I••• (New Brighton, MN) for F•••••••• D••••••••• G••••• I••• within 4 days
    May 5, 2025 · Team lift-out · derived
  • D••••• P••••••• left F•••••••• D••••••••• G••••• I••• for L•• F•••••••• L•• (registered 2025-05-01)
    Nov 1, 2024 · Advisor changed firm · fact
  • 4 advisors left F•••••••• D••••••••• G••••• I••• (New Brighton, MN) for L•• F•••••••• L•• on the same day
    Nov 1, 2024 · Team lift-out · derived
  • J••• W• W•••••• left F•••••••• D••••••••• G••••• I••• for L•• F•••••••• L•• (registered 2025-05-01)
    Nov 1, 2024 · Advisor changed firm · fact
  • Gregg Richard Anderson no longer registered at F•••••••• D••••••••• G••••• I•••; no later IA registration on IAPD
    Nov 1, 2024 · Advisor departure · fact
  • M••••••• P••• P•••••• left F•••••••• D••••••••• G••••• I••• for L•• F•••••••• L•• (registered 2025-05-07)
    Nov 1, 2024 · Advisor changed firm · fact
  • B•••• T• B•••• left F•••••••• D••••••••• G••••• I••• for L•• F•••••••• L•• (registered 2025-05-02)
    Nov 1, 2024 · Advisor changed firm · fact
  • Brian Philip Bowen no longer registered at F•••••••• D••••••••• G••••• I•••; no later IA registration on IAPD
    Nov 1, 2024 · Advisor departure · fact
  • Christopher B Prosinski no longer registered at F•••••••• D••••••••• G••••• I•••; no later IA registration on IAPD
    Nov 1, 2024 · Advisor departure · fact
  • F•••••••• D••••••••• G••••• I••• reported 36 state-registered advisory representatives, down from 49 (2023-11-01 to 2024-03-04)
    Mar 4, 2024 · Advisor headcount change · derived
  • A•• R••• H••••• left F•••••••• D••••••••• G••••• I••• for L•• F•••••••• L•• (registered 2024-01-30)
    Feb 5, 2024 · Advisor changed firm · fact
  • P••• R•••••• L••• left F•••••••• D••••••••• G••••• I••• for O•••• W•••••• I••• (registered 2024-01-03)
    Feb 5, 2024 · Advisor changed firm · fact
  • J•••••• L•• S•••••• left F•••••••• D••••••••• G••••• I••• for O•••• W•••••• I••• (registered 2017-08-01)
    Feb 5, 2024 · Advisor changed firm · fact
  • M•••••• A••• M••••••• left F•••••••• D••••••••• G••••• I••• for O•••• W•••••• I••• (registered 2016-07-27)
    Feb 5, 2024 · Advisor changed firm · fact
  • 6 advisors left F•••••••• D••••••••• G••••• I••• (Maple Grove, MN) for L•• F•••••••• L•• on the same day
    Feb 5, 2024 · Team lift-out · derived
  • 4 advisors left F•••••••• D••••••••• G••••• I••• (Maple Grove, MN) for O•••• W•••••• I••• on the same day
    Feb 5, 2024 · Team lift-out · derived
  • S•••• A••• R•••••••• left F•••••••• D••••••••• G••••• I••• for L•• F•••••••• L•• (registered 2024-01-30)
    Feb 5, 2024 · Advisor changed firm · fact
  • S•••• M•••• A••••••• left F•••••••• D••••••••• G••••• I••• for L•• F•••••••• L•• (registered 2024-01-30)
    Feb 5, 2024 · Advisor changed firm · fact
  • S•••• M•••• M••••• left F•••••••• D••••••••• G••••• I••• for L•• F•••••••• L•• (registered 2024-01-30)
    Feb 5, 2024 · Advisor changed firm · fact
  • P••••• A••••• S•••••• left F•••••••• D••••••••• G••••• I••• for L•• F•••••••• L•• (registered 2024-01-30)
    Feb 5, 2024 · Advisor changed firm · fact
  • M•••• L•••••• H••••••• left F•••••••• D••••••••• G••••• I••• for O•••• W•••••• I••• (registered 2022-03-24)
    Feb 5, 2024 · Advisor changed firm · fact
  • D•• A••••• P••• left F•••••••• D••••••••• G••••• I••• for L•• F•••••••• L•• (registered 2024-01-30)
    Feb 5, 2024 · Advisor changed firm · fact
  • B•••• W•••••• left F•••••••• D••••••••• G••••• I••• for O•••• W•••••• I••• (registered 2021-07-09)
    Feb 10, 2022 · Advisor changed firm · fact
  • F•••••••• D••••••••• G••••• I••• reported RAUM $1.8B, up 38% from $1.3B (2021-02-16 to 2021-03-19)
    Mar 19, 2021 · RAUM change · derived
  • F•••••••• D••••••••• G••••• I••• reported RAUM $1.3B, up 38% from $958.7M (2020-02-03 to 2020-03-17)
    Mar 17, 2020 · RAUM change · derived
  • F•••••••• D••••••••• G••••• I••• reported RAUM $779.2M, up 26% from $620.3M (2017-07-24 to 2018-03-19)
    Mar 19, 2018 · RAUM change · derived
  • F•••••••• D••••••••• G••••• I••• filed its initial SEC registration (Form ADV)
    Oct 17, 2012 · 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