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

J•• F•••••••• A•••••••• I•••

Former SEC-registered adviserMaple Grove, MinnesotaCRD 117824SEC 801-62416IAPD
Latest filing Mar 19, 2014
First filing on the tape Mar 21, 2012 · 5 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
17
7 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM: $102M
HNW client RAUM: no history
State-registered IARs (5.B.3)7 as of Mar 19, 2014
Mar 21, 20120 then
Employees (5.A)17 as of Mar 19, 2014
Feb 27, 201317 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 7 to 7
Practice profile
derived from the filing of Mar 19, 2014; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.4derivedItem 5.A over advisors
Advisors per office
7.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, pension consulting, otherreportedItem 5.G
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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
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•••• K••••••••• L••• · President, Ceocontrol
    since 01/2005 · owns 75% or more
  • H••••••••• A••••• J••• · Executive Planner
    since 01/2006 · owns 5% to 10%
  • M•••••••• M••••••• R•• · Vp Sales Marketing
    since 08/2002 · owns 5% to 10%
  • S•••••• C••••••• M•••• · Chief Compliance Officer
    since 08/2004 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 7.0 to unset
    Feb 27, 2013 to Mar 17, 2014
  • Discretionary RAUM · 0.0 to unset
    Feb 27, 2013 to Mar 17, 2014
  • Non-discretionary RAUM · 101739812.0 to unset
    Feb 27, 2013 to Mar 17, 2014
  • RAUM · 101739812.0 to unset
    Feb 27, 2013 to Mar 17, 2014
  • Accounts · 6 to 7
    Apr 19, 2012 to Feb 27, 2013
  • Advisory employees · unset to 7.0
    Apr 19, 2012 to Feb 27, 2013
  • BD registered reps · unset to 17.0
    Apr 19, 2012 to Feb 27, 2013
  • Employees · unset to 17.0
    Apr 19, 2012 to Feb 27, 2013
  • Insurance-licensed employees · 14 to 7
    Apr 19, 2012 to Feb 27, 2013
  • State-registered IARs · 0 to 7
    Apr 19, 2012 to Feb 27, 2013
  • Non-discretionary RAUM · $94.0M to $102M
    Apr 19, 2012 to Feb 27, 2013
  • RAUM · $94.0M to $102M
    Apr 19, 2012 to Feb 27, 2013
  • Accounts · unset to 6.0
    Mar 21, 2012 to Apr 19, 2012
  • Advisory activities · 2 to 3
    Mar 21, 2012 to Apr 19, 2012
  • Discretionary RAUM · unset to 0.0
    Mar 21, 2012 to Apr 19, 2012
  • Non-discretionary RAUM · unset to 94010078.0
    Mar 21, 2012 to Apr 19, 2012
  • RAUM · unset to 94010078.0
    Mar 21, 2012 to Apr 19, 2012
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