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•••••• W••••• M••••••••• I•••

Former SEC-registered adviserArden Hills, MinnesotaCRD 115165SEC 801-63114IAPD
Latest filing Jun 30, 2020
First filing on the tape Mar 12, 2012 · 26 filings
RAUM
$147M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$145M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$147M as of Mar 24, 2020
Mar 12, 2012$183M then
HNW client RAUM$25.5M as of Mar 24, 2020
Mar 26, 2018$44.0M then
State-registered IARs (5.B.3)5 as of Mar 24, 2020
Mar 13, 20132 then
Employees (5.A)10 as of Mar 24, 2020
Mar 13, 20137 then
Private funds: no history
RAUM -0.2% over the last fiscal year+0.4% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Jun 30, 2020; every figure names its basis
RAUM per advisor
$29.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
113derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.2MderivedHNW RAUM over HNW clients
Average account
$95,493derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-0.2%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+4.1%derived
Compensation
percentage of assets, hourly, fixed fees, commissions, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, publications, educational seminarsreportedItem 5.G
Wrap fee program
$78.5MreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • 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)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$120M81%
  • High-net-worth individuals$25.5M17%
  • Charitable organizations$1.7M1.2%
Individual clients
543reported
HNW clients
22reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,538reported
Financial planning clients
11-25reported
Wrap fee programs
$0 sponsored, $0 managedreported
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
Left, 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
    • M•••••••• P•••• S••••• · President/Chief Compliance Officercontrol
      since 11/1987 · owns 75% or more
    • W•••• M•••••••• A••• · Chief Operating Officercontrol
      since 01/2018 · owns less than 5%
    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 · 1,654 to 1,538
      Nov 18, 2019 to Mar 24, 2020
    • BD registered reps · 4 to 6
      Nov 18, 2019 to Mar 24, 2020
    • Charity clients · 2.0 to unset
      Nov 18, 2019 to Mar 24, 2020
    • HNW clients · 16 to 22
      Nov 18, 2019 to Mar 24, 2020
    • Individual clients · 527 to 543
      Nov 18, 2019 to Mar 24, 2020
    • Assets in custody · $87.7M to $50.0M
      Nov 18, 2019 to Mar 24, 2020
    • Employees · 12 to 10
      Nov 18, 2019 to Mar 24, 2020
    • Discretionary RAUM · $147M to $147M
      Nov 18, 2019 to Mar 24, 2020
    • HNW RAUM · $27.6M to $25.5M
      Nov 18, 2019 to Mar 24, 2020
    • Individual RAUM · $118M to $120M
      Nov 18, 2019 to Mar 24, 2020
    • RAUM · $147M to $147M
      Nov 18, 2019 to Mar 24, 2020
    • Accounts · 1,912 to 1,654
      Mar 26, 2018 to Mar 19, 2019
    • HNW clients · 28 to 16
      Mar 26, 2018 to Mar 19, 2019
    • Individual clients · 508 to 527
      Mar 26, 2018 to Mar 19, 2019
    • Assets in custody · $37.1M to $87.7M
      Mar 26, 2018 to Mar 19, 2019
    • Employees · 10 to 12
      Mar 26, 2018 to Mar 19, 2019
    • Financial planning clients · 1-10 to 11-25
      Mar 26, 2018 to Mar 19, 2019
    • Discretionary RAUM · $160M to $147M
      Mar 26, 2018 to Mar 19, 2019
    • HNW RAUM · $44.0M to $27.6M
      Mar 26, 2018 to Mar 19, 2019
    • Individual RAUM · $120M to $118M
      Mar 26, 2018 to Mar 19, 2019
    • Non-discretionary RAUM · $6.5M to $0
      Mar 26, 2018 to Mar 19, 2019
    • RAUM · $166M to $147M
      Mar 26, 2018 to Mar 19, 2019
    • Accounts · 1,583 to 1,912
      Sep 5, 2017 to Mar 26, 2018
    • Advisory employees · 4 to 5
      Sep 5, 2017 to Mar 26, 2018
    • BD registered reps · 3 to 4
      Sep 5, 2017 to Mar 26, 2018
    • Charity clients · unset to 2.0
      Sep 5, 2017 to Mar 26, 2018
    • HNW clients · unset to 28.0
      Sep 5, 2017 to Mar 26, 2018
    • Individual clients · unset to 508.0
      Sep 5, 2017 to Mar 26, 2018
    • Assets in custody · unset to 37100000.0
      Sep 5, 2017 to Mar 26, 2018
    • Employees · 5 to 10
      Sep 5, 2017 to Mar 26, 2018
    • Insurance-licensed employees · 0 to 1
      Sep 5, 2017 to Mar 26, 2018
    • Financial planning clients · 251-500 to 1-10
      Sep 5, 2017 to Mar 26, 2018
    • State-registered IARs · 4 to 5
      Sep 5, 2017 to Mar 26, 2018
    • Other offices · unset to 0.0
      Sep 5, 2017 to Mar 26, 2018
    • Discretionary RAUM · $145M to $160M
      Sep 5, 2017 to Mar 26, 2018
    • HNW RAUM · unset to 44000000.0
      Sep 5, 2017 to Mar 26, 2018
    • Individual RAUM · unset to 119500000.0
      Sep 5, 2017 to Mar 26, 2018
    • Non-discretionary RAUM · $0 to $6.5M
      Sep 5, 2017 to Mar 26, 2018
    • RAUM · $145M to $166M
      Sep 5, 2017 to Mar 26, 2018
    • Related adviser · false to true
      Sep 5, 2017 to Mar 26, 2018
    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