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

H••••••• C•••••• A•••••••• L••

Former SEC-registered adviserSt Paul, MinnesotaCRD 115308SEC 801-60796IAPD
Latest filing Apr 13, 2023
First filing on the tape Mar 27, 2012 · 19 filings
RAUM
$66.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$66.7M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$66.7M
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$66.7M as of Mar 23, 2023
Mar 27, 2012$118M then
HNW client RAUM$62.8M as of Mar 23, 2023
Mar 21, 2018$149M then
State-registered IARs (5.B.3)1 as of Mar 23, 2023
Mar 27, 20120 then
Employees (5.A)4 as of Mar 23, 2023
Apr 1, 20130 then
Private funds: no history
RAUM -7.1% over the last fiscal year-29% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Apr 13, 2023; every figure names its basis
RAUM per advisor
$66.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
38derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.4MderivedHNW RAUM over HNW clients
Average account
$767,188derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-7.1%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+23%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, selection of other advisersreportedItem 5.G
Custody
$60.9M, 27 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
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$62.8M94%
  • Individuals$3.9M5.9%
Individual clients
12reported
HNW clients
26reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
87reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$60.9M for 27 clientsreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
S•••• F••• M•••••St Paul, MnOct 18, 201731 y0
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
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
    • M•••••• S••••• F••• · Chief Compliance Officercontrol
      since 03/2023 · owns 75% or more
    Related persons
    Schedule D 7.A
    • M•••••• L•• • B•••••• P•••
      insurancen
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 75 to 87
      May 31, 2022 to Mar 23, 2023
    • HNW clients · 24 to 26
      May 31, 2022 to Mar 23, 2023
    • Individual clients · 7 to 12
      May 31, 2022 to Mar 23, 2023
    • Assets in custody · $71.0M to $60.9M
      May 31, 2022 to Mar 23, 2023
    • Employees · 2 to 4
      May 31, 2022 to Mar 23, 2023
    • Discretionary RAUM · $71.8M to $66.7M
      May 31, 2022 to Mar 23, 2023
    • HNW RAUM · $69.1M to $62.8M
      May 31, 2022 to Mar 23, 2023
    • Individual RAUM · $2.7M to $3.9M
      May 31, 2022 to Mar 23, 2023
    • RAUM · $71.8M to $66.7M
      May 31, 2022 to Mar 23, 2023
    • Accounts · 66 to 75
      Mar 11, 2021 to Mar 10, 2022
    • Individual clients · 11 to 7
      Mar 11, 2021 to Mar 10, 2022
    • Assets in custody · $50.2M to $71.0M
      Mar 11, 2021 to Mar 10, 2022
    • Employees · 4 to 2
      Mar 11, 2021 to Mar 10, 2022
    • Discretionary RAUM · $52.1M to $71.8M
      Mar 11, 2021 to Mar 10, 2022
    • HNW RAUM · $48.2M to $69.1M
      Mar 11, 2021 to Mar 10, 2022
    • Individual RAUM · $3.9M to $2.7M
      Mar 11, 2021 to Mar 10, 2022
    • RAUM · $52.1M to $71.8M
      Mar 11, 2021 to Mar 10, 2022
    • Accounts · 151 to 66
      Jun 17, 2020 to Mar 11, 2021
    • Advisory employees · 2 to 1
      Jun 17, 2020 to Mar 11, 2021
    • HNW clients · 49 to 24
      Jun 17, 2020 to Mar 11, 2021
    • Individual clients · 34 to 11
      Jun 17, 2020 to Mar 11, 2021
    • Assets in custody · $165M to $50.2M
      Jun 17, 2020 to Mar 11, 2021
    • Employees · 7 to 4
      Jun 17, 2020 to Mar 11, 2021
    • Financial planning clients · 0 to unset
      Jun 17, 2020 to Mar 11, 2021
    • State-registered IARs · 2 to 1
      Jun 17, 2020 to Mar 11, 2021
    • Discretionary RAUM · $188M to $52.1M
      Jun 17, 2020 to Mar 11, 2021
    • HNW RAUM · $181M to $48.2M
      Jun 17, 2020 to Mar 11, 2021
    • Individual RAUM · $6.6M to $3.9M
      Jun 17, 2020 to Mar 11, 2021
    • RAUM · $188M to $52.1M
      Jun 17, 2020 to Mar 11, 2021
    • Accounts · 139 to 151
      May 15, 2019 to Mar 4, 2020
    • HNW clients · 50 to 49
      May 15, 2019 to Mar 4, 2020
    • Individual clients · 38 to 34
      May 15, 2019 to Mar 4, 2020
    • Assets in custody · $135M to $165M
      May 15, 2019 to Mar 4, 2020
    • Financial planning clients · unset to 0
      May 15, 2019 to Mar 4, 2020
    • Discretionary RAUM · $139M to $188M
      May 15, 2019 to Mar 4, 2020
    • HNW RAUM · $134M to $181M
      May 15, 2019 to Mar 4, 2020
    • Individual RAUM · $5.4M to $6.6M
      May 15, 2019 to Mar 4, 2020
    • RAUM · $139M to $188M
      May 15, 2019 to Mar 4, 2020
    • Accounts · 140 to 139
      Jun 26, 2018 to Feb 27, 2019
    • HNW clients · 107 to 50
      Jun 26, 2018 to Feb 27, 2019
    Signals
    3 dated events
    • Scott Mark Barrett (Chief Compliance Officer) no longer on Schedule A of H••••••• C•••••• A•••••••• L•• (listed 2022-05-31, absent 2023-03-23)
      Mar 23, 2023 · Control person left · inference
    • H••••••• C•••••• A•••••••• L•• reported RAUM $52.1M, down 72% from $187.6M (2020-06-17 to 2021-03-11)
      Mar 11, 2021 · RAUM change · derived
    • James Michael Barrett (Principal) no longer on Schedule A of H••••••• C•••••• A•••••••• L•• (listed 2020-06-17, absent 2021-03-11)
      Mar 11, 2021 · 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.
    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
    $66.7Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026