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
T•••••••• F•••••••• M••••••••• L••
Latest filing Mar 9, 2026
First filing on the tape Mar 7, 2012 · 36 filings
SEC status approved since Feb 6, 2015
RAUM
$293M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$293M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$147M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$293M as of Mar 9, 2026
Mar 7, 2012$64.5M then
HNW client RAUM$115M as of Mar 9, 2026
Feb 28, 2018$45.7M then
State-registered IARs (5.B.3)2 as of Mar 9, 2026
Mar 16, 20163 then
Employees (5.A)5 as of Mar 9, 2026
Mar 16, 20164 then
Private funds: no history
RAUM +19% over the last fiscal year+12% a year over threeIARs 1 to 2
Practice profile
derived from the filing of Mar 9, 2026; every figure names its basis
Archetypes, each a printed rule
- i••••••••• boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $147MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 229derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $317,901derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.0%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 5.G
- Custody
- $17.2M, 7 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$178M61%
- High-net-worth individuals$115M39%
- Individual clients
- 409reported
- HNW clients
- 49reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 923reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $17.2M for 7 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••• A••••• C••••••Chartered Financial Analyst | Bloomington, Mn | Jan 24, 2013 | 39 y | 2 |
| S••••• J••••• G••••• | Bloomington, Mn | Nov 4, 2025 | 12 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount2 left over 36 months
Left, latest
- Z•••••• T••••• D•••••• to N•••••• A•••••••Jun 6, 2024 · RIA to affiliated broker-dealer or bank
- J••• P•••••• M••••• to O•••••• A•• A••••••••• I•••Mar 19, 2024 · RIA to a state-registered adviser
- S••••• L••• G••••••• to R•••••• W••••• A•••••••• I•••Jun 6, 2016 · Other
- K•••••• J•••• C•••••• to I••••••••• F•••••••• G••••• L••Nov 14, 2013 · Other
- S•••••• R••••• C•••••• to I••••••••• F•••••••• G••••• L••Nov 14, 2013 · Other
Joined, latest
- S••••• J••••• G••••• from C•••••• C•••••• M••••••••• L••Nov 4, 2025 · RIA to RIA
- S••••• L••• G••••••• from T• A••••••••• I•••Oct 28, 2014 · Other
- M••• A••••• C•••••• from C••••• A••••••• L••Jan 24, 2013 · Other
- K•••••• J•••• C•••••• from C••••• A••••••• L••Jun 7, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• M•••• A••••• · Managing Membercontrolsince 06/2000 · owns 75% or more
- L•••• J•••••••• K•••••• · Chief Compliance Officercontrolsince 10/2022 · owns less than 5%
Related persons
Schedule D 7.A
- C•••••• S••••••••• F•••••••• C•••••••••investment advisernRAUM $82.2M
Advisers that list T•••••••• F•••••••• M••••••••• L•• as a related person
- 115693 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Bloomington, Mn · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 886 to 923Feb 26, 2026 to Mar 9, 2026
- HNW clients · 48 to 49Feb 26, 2026 to Mar 9, 2026
- Individual clients · 401 to 409Feb 26, 2026 to Mar 9, 2026
- Assets in custody · $12.0M to $17.2MFeb 26, 2026 to Mar 9, 2026
- Discretionary RAUM · $246M to $293MFeb 26, 2026 to Mar 9, 2026
- HNW RAUM · $99.6M to $115MFeb 26, 2026 to Mar 9, 2026
- Individual RAUM · $147M to $178MFeb 26, 2026 to Mar 9, 2026
- RAUM · $246M to $293MFeb 26, 2026 to Mar 9, 2026
- Advisory employees · 1 to 2Aug 27, 2025 to Feb 26, 2026
- Employees · 4 to 5Aug 27, 2025 to Feb 26, 2026
- State-registered IARs · 1 to 2Aug 27, 2025 to Feb 26, 2026
- Financial planning clients · 0 to 0Feb 4, 2025 to Aug 27, 2025
- Accounts · 938 to 886Jun 6, 2024 to Feb 4, 2025
- HNW clients · 59 to 48Jun 6, 2024 to Feb 4, 2025
- Individual clients · 405 to 401Jun 6, 2024 to Feb 4, 2025
- Assets in custody · $23.1M to $12.0MJun 6, 2024 to Feb 4, 2025
- Discretionary RAUM · $250M to $246MJun 6, 2024 to Feb 4, 2025
- HNW RAUM · $121M to $99.6MJun 6, 2024 to Feb 4, 2025
- Individual RAUM · $129M to $147MJun 6, 2024 to Feb 4, 2025
- RAUM · $250M to $246MJun 6, 2024 to Feb 4, 2025
- Advisory employees · 2 to 1Apr 30, 2024 to Jun 6, 2024
- Employees · 5 to 4Apr 30, 2024 to Jun 6, 2024
- State-registered IARs · 2 to 1Apr 30, 2024 to Jun 6, 2024
- Accounts · 867 to 938Oct 23, 2023 to Mar 19, 2024
- Advisory employees · 3 to 2Oct 23, 2023 to Mar 19, 2024
- Advisory activities · 5 to 4Oct 23, 2023 to Mar 19, 2024
- HNW clients · 54 to 59Oct 23, 2023 to Mar 19, 2024
- Individual clients · 385 to 405Oct 23, 2023 to Mar 19, 2024
- Assets in custody · $18.6M to $23.1MOct 23, 2023 to Mar 19, 2024
- State-registered IARs · 3 to 2Oct 23, 2023 to Mar 19, 2024
- Discretionary RAUM · $208M to $250MOct 23, 2023 to Mar 19, 2024
- HNW RAUM · $101M to $121MOct 23, 2023 to Mar 19, 2024
- Individual RAUM · $107M to $129MOct 23, 2023 to Mar 19, 2024
- RAUM · $208M to $250MOct 23, 2023 to Mar 19, 2024
- Accounts · 839 to 867Oct 28, 2022 to Mar 27, 2023
- Advisory activities · 4 to 5Oct 28, 2022 to Mar 27, 2023
- Individual clients · 381 to 385Oct 28, 2022 to Mar 27, 2023
- Assets in custody · $19.8M to $18.6MOct 28, 2022 to Mar 27, 2023
- Discretionary RAUM · $232M to $208MOct 28, 2022 to Mar 27, 2023
- HNW RAUM · $113M to $101MOct 28, 2022 to Mar 27, 2023
Signals
5 dated events
- Z•••••• T••••• D•••••• left T•••••••• F•••••••• M••••••••• L•• for N•••••• A••••••• (registered 2024-05-13)Jun 6, 2024 · Advisor changed firm · fact
- J••• P•••••• M••••• left T•••••••• F•••••••• M••••••••• L•• for O•••••• A•• A••••••••• I••• (registered 2019-09-30)Mar 19, 2024 · Advisor changed firm · fact
- Phillip John Mowery (Vice President) no longer on Schedule A of T•••••••• F•••••••• M••••••••• L•• (listed 2023-10-23, absent 2024-03-19)Mar 19, 2024 · Control person left · inference
- Kathryn Jennifer Lutz (Chief Compliance Officer) appeared on Schedule A of T•••••••• F•••••••• M••••••••• L••Oct 28, 2022 · Control person joined · fact
- T•••••••• F•••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jan 27, 2015 · 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.
How to reach
public business contact points only, each with its source
- Business email
- info@trademarkfinancial.usreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 952-358-3395reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/4810939reportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 952-358-3395reportedpublic record, Form ADV, Mar 9, 2026
- Contact form
- trademarkfinancial.us/contactreportedpublished by the firm, firm site, Sep 17, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $147Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026