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
S••••• F•••••••• S•••••••• I•••
Legal name S••••• F•••••••• S••••••• I•••••••••
Latest filing Mar 23, 2026
First filing on the tape Mar 9, 2017 · 25 filings
SEC status approved since Mar 22, 2017
RAUM
$549M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
88%
$483M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$68.6M
derived; firm RAUM over IAPD count
Employees
12
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$549M as of Mar 23, 2026
Mar 27, 2018$1.1M then
HNW client RAUM$433M as of Mar 23, 2026
Mar 9, 2021$199M then
State-registered IARs (5.B.3)8 as of Mar 23, 2026
Mar 27, 20185 then
Employees (5.A)12 as of Mar 23, 2026
Mar 27, 20187 then
Private funds: no history
RAUM +25% over the last fiscal year+21% a year over threeIARs 6 to 8
Practice profile
derived from the filing of Mar 23, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $68.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 31derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.2MderivedHNW RAUM over HNW clients
- Average account
- $691,991derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 7.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 8.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.6%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Wrap fee program
- $510MreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$433M79%
- Individuals$50.3M9.2%
- Pension and profit-sharing plans$40.2M7.3%
- Corporations and businesses$24.2M4.4%
- Charitable organizations$1.1M0.2%
- Individual clients
- 142reported
- HNW clients
- 104reported
- Pension plan clients
- 11reported
- Charitable clients
- 3reported
- Accounts
- 793reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=0.88 fund_share=0.0 institutional_share=0.08 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• M•••• S•••••Certified Financial Planner, Chartered Financial Consultant | Edina, Mn | Feb 7, 2014 | 34 y | 1 |
| P••• E• T•••• | Edina, Mn | Nov 3, 2016 | 30 y | 6 |
| K••••••• E•••••••• M•••• | Edina, Mn | Jan 5, 2021 | 20 y | 0 |
| M••• R••••• G•••••• | Edina, Mn | Mar 7, 2023 | 12 y | 1 |
| J••• R• S•••• | Edina, Mn | Apr 22, 2024 | 34 y | 6 |
| B••••••• T•••••• A••••Certified Financial Planner | Edina, Mn | Sep 11, 2025 | 10 y | 1 |
| R••••• K•••••••• E•••• | Edina, Mn | Nov 12, 2025 | 12 y | 1 |
| E•••• C•••••••• V••••••• | Edina, Mn | Nov 12, 2025 | 12 y | 2 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- M•••••• P••••••••• to C••••• I••••••••• A••••••• L••Jun 16, 2022 · RIA to affiliated broker-dealer or bank
- K••••••• J• S•••• to M••••• S••••••Aug 7, 2021 · RIA to wirehouse
- D••••• P••• S••••• to C•••••• W••••• A•••••••Aug 24, 2018 · Other
- P•••• J• S•••••• to N•• A•••••• S•••••••• L••Apr 8, 2016 · Other
Joined, latest
- E•••• C•••••••• V••••••• from S•••••• R••••••••• A•••••••• L••Nov 12, 2025 · RIA to RIA
- R••••• K•••••••• E•••• from T••••••• A•••• M••••••••• L••Nov 12, 2025 · Other
- B••••••• T•••••• A•••• from S•••••• R••••••••• A•••••••• L••Sep 11, 2025 · RIA to RIA
- J••• R• S•••• from A••••••••• F•••••••• S•••••••• L••Apr 22, 2024 · Affiliated broker-dealer or bank to independent RIA
- M••• R••••• G•••••• from B••••••• C•••••• M••••••••• L••Mar 7, 2023 · Other
- M•••••• P••••••••• from B•• C•••••• L••Nov 12, 2021 · Other
- K••••••• J• S•••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Jan 3, 2018 · Other
- D••••• P••• S••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Nov 3, 2016 · Other
- P••• E• T•••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Nov 3, 2016 · Other
- S•••• M•••• S••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Feb 7, 2014 · Other
- P•••• J• S•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Feb 7, 2014 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from C•••••••• I••••••••• R••••••• A•••••••• I•••May 11, 2020 · Edina, Mn
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••• S••••• M•••• · President, Ccocontrolsince 08/2000 · owns 75% or more
- G••••••• M•••• R••••• · Portfolio Managersince 07/2022 · owns less than 5%
- R••••••• J••••••• C•••••• · Vice Presidentsince 08/2002 · owns less than 5%
- S••••• J•••• R• · Vice Presidentsince 04/2024 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Edina, Mn · principal | 8 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 729 to 793Nov 26, 2025 to Mar 23, 2026
- Charity clients · 0 to 3Nov 26, 2025 to Mar 23, 2026
- Corporate clients · 0 to 1Nov 26, 2025 to Mar 23, 2026
- HNW clients · 89 to 104Nov 26, 2025 to Mar 23, 2026
- Individual clients · 161 to 142Nov 26, 2025 to Mar 23, 2026
- Pension plan clients · 0 to 11Nov 26, 2025 to Mar 23, 2026
- Financial planning clients · 51-100 to 26-50Nov 26, 2025 to Mar 23, 2026
- Discretionary RAUM · $438M to $548MNov 26, 2025 to Mar 23, 2026
- HNW RAUM · $383M to $433MNov 26, 2025 to Mar 23, 2026
- Individual RAUM · $56.5M to $50.3MNov 26, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $800,391 to $876,884Nov 26, 2025 to Mar 23, 2026
- Pension RAUM · $0 to $40.2MNov 26, 2025 to Mar 23, 2026
- RAUM · $439M to $549MNov 26, 2025 to Mar 23, 2026
- Advisory employees · 5 to 8May 16, 2025 to Nov 26, 2025
- Employees · 9 to 12May 16, 2025 to Nov 26, 2025
- State-registered IARs · 5 to 8May 16, 2025 to Nov 26, 2025
- Advisory employees · 6 to 5Mar 19, 2025 to May 16, 2025
- Employees · 10 to 9Mar 19, 2025 to May 16, 2025
- Financial planning clients · 51-100 to 51-100Mar 19, 2025 to May 16, 2025
- State-registered IARs · 6 to 5Mar 19, 2025 to May 16, 2025
- Accounts · 664 to 729Nov 12, 2024 to Mar 19, 2025
- Advisory employees · 5 to 6Nov 12, 2024 to Mar 19, 2025
- HNW clients · 82 to 89Nov 12, 2024 to Mar 19, 2025
- Individual clients · 144 to 161Nov 12, 2024 to Mar 19, 2025
- State-registered IARs · 5 to 6Nov 12, 2024 to Mar 19, 2025
- Discretionary RAUM · $369M to $438MNov 12, 2024 to Mar 19, 2025
- HNW RAUM · $320M to $383MNov 12, 2024 to Mar 19, 2025
- Individual RAUM · $49.7M to $56.5MNov 12, 2024 to Mar 19, 2025
- Non-discretionary RAUM · $639,175 to $800,391Nov 12, 2024 to Mar 19, 2025
- RAUM · $369M to $439MNov 12, 2024 to Mar 19, 2025
- Accounts · 218 to 664Mar 31, 2023 to Mar 28, 2024
- HNW clients · 69 to 82Mar 31, 2023 to Mar 28, 2024
- Individual clients · 149 to 144Mar 31, 2023 to Mar 28, 2024
- Employees · 11 to 10Mar 31, 2023 to Mar 28, 2024
- Financial planning clients · 1-10 to 51-100Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $312M to $369MMar 31, 2023 to Mar 28, 2024
- HNW RAUM · $259M to $320MMar 31, 2023 to Mar 28, 2024
- Individual RAUM · $52.4M to $49.7MMar 31, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $0 to $639,175Mar 31, 2023 to Mar 28, 2024
- RAUM · $312M to $369MMar 31, 2023 to Mar 28, 2024
Signals
4 dated events
- M•••••• P••••••••• left S••••• F•••••••• S•••••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2022-07-13)Jun 16, 2022 · a•••••• firm change · fact
- S••••• F•••••••• S•••••••• I••• reported RAUM $339.5M, up 64% from $206.6M (2022-02-14 to 2022-03-17)Mar 17, 2022 · RAUM change · derived
- S••••• F•••••••• S•••••••• I••• reported RAUM $1.1M, down 100% from $391.7M (2017-06-09 to 2018-03-27)Mar 27, 2018 · RAUM change · derived
- S••••• F•••••••• S•••••••• I••• filed its initial SEC registration (Form ADV)Mar 9, 2017 · 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@stilesfinancial.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- 401kinfo@stilesfinancial.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 952-988-0452reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 952-988-0752reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 866-401-7374reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/1463857reportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/stiles-financial-services-inc.reportedpublic record, Form ADV, Sep 18, 2026
- Website
- S•••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 952-988-0452reportedpublic record, Form ADV, Mar 23, 2026
- Contact form
- stilesfinancial.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- stilesfinancial.com/staff/susan-stilesreportedpublished by the firm, firm site, Sep 15, 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
- $68.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026