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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
B•••• W••••• M••••••••• L••
Latest filing Mar 17, 2025
First filing on the tape Feb 24, 2018 · 11 filings
SEC status approved since Mar 26, 2018
RAUM
$199M
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
100%
$199M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$199M as of Mar 17, 2025
Mar 11, 2019$108M then
HNW client RAUM$160M as of Mar 17, 2025
Mar 11, 2019$75.2M then
State-registered IARs (5.B.3)2 as of Mar 17, 2025
Mar 11, 20193 then
Employees (5.A)4 as of Mar 17, 2025
Mar 11, 20194 then
Private funds: no history
RAUM +15% over the last fiscal year+6.9% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 17, 2025; every figure names its basis
- RAUM per advisor
- $99.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 59derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $317,153derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 88%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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
- 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$160M80%
- Individuals$39.2M20%
- Individual clients
- 58reported
- HNW clients
- 59reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 629reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 days2 left over 36 months
Left, latest
- T•••••• B•••••• B•••• to M•••••• W••••• M••••••••• L•Dec 22, 2025 · RIA to RIA
- P•••• J• H••• to M•••••• W••••• M••••••••• L•Dec 22, 2025 · RIA to RIA
- M•••••• J••• U••• to 3•• F••••••••May 11, 2023 · RIA to RIA
- T••••• S••••••• to W•••••• F•••••••• G•••• L••Jul 2, 2015 · Other
Joined, latest
- M•••••• J••• U••• from M• F•••••••• A••••••• • V••••••• F••••••••Aug 15, 2018 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for M•••••• W••••• M••••••••• L•Dec 22, 2025 · Eden Prairie, Mn
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• T••••••• B•••••• · Member And Chief Compliance Officercontrolsince 06/2002 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Eden Prairie, Mn · principal | 0 | 0 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 577 to 629Mar 20, 2024 to Mar 17, 2025
- HNW clients · 61 to 59Mar 20, 2024 to Mar 17, 2025
- Individual clients · 56 to 58Mar 20, 2024 to Mar 17, 2025
- Financial planning clients · 101-250 to 101-250Mar 20, 2024 to Mar 17, 2025
- Discretionary RAUM · $152M to $175MMar 20, 2024 to Mar 17, 2025
- HNW RAUM · $139M to $160MMar 20, 2024 to Mar 17, 2025
- Individual RAUM · $34.0M to $39.2MMar 20, 2024 to Mar 17, 2025
- Non-discretionary RAUM · $21.4M to $24.1MMar 20, 2024 to Mar 17, 2025
- RAUM · $173M to $199MMar 20, 2024 to Mar 17, 2025
- Accounts · 559 to 577Mar 27, 2023 to Mar 20, 2024
- Advisory employees · 3 to 2Mar 27, 2023 to Mar 20, 2024
- HNW clients · 57 to 61Mar 27, 2023 to Mar 20, 2024
- Individual clients · 59 to 56Mar 27, 2023 to Mar 20, 2024
- State-registered IARs · 3 to 2Mar 27, 2023 to Mar 20, 2024
- Discretionary RAUM · $139M to $152MMar 27, 2023 to Mar 20, 2024
- HNW RAUM · $125M to $139MMar 27, 2023 to Mar 20, 2024
- Individual RAUM · $34.7M to $34.0MMar 27, 2023 to Mar 20, 2024
- Non-discretionary RAUM · $20.1M to $21.4MMar 27, 2023 to Mar 20, 2024
- RAUM · $159M to $173MMar 27, 2023 to Mar 20, 2024
- Accounts · 550 to 559Mar 5, 2022 to Mar 27, 2023
- HNW clients · 58 to 57Mar 5, 2022 to Mar 27, 2023
- Individual clients · 53 to 59Mar 5, 2022 to Mar 27, 2023
- Discretionary RAUM · $141M to $139MMar 5, 2022 to Mar 27, 2023
- HNW RAUM · $132M to $125MMar 5, 2022 to Mar 27, 2023
- Individual RAUM · $30.8M to $34.7MMar 5, 2022 to Mar 27, 2023
- Non-discretionary RAUM · $22.3M to $20.1MMar 5, 2022 to Mar 27, 2023
- RAUM · $163M to $159MMar 5, 2022 to Mar 27, 2023
- Accounts · 497 to 550Dec 13, 2021 to Mar 5, 2022
- HNW clients · 51 to 58Dec 13, 2021 to Mar 5, 2022
- Individual clients · 54 to 53Dec 13, 2021 to Mar 5, 2022
- Discretionary RAUM · $121M to $141MDec 13, 2021 to Mar 5, 2022
- HNW RAUM · $113M to $132MDec 13, 2021 to Mar 5, 2022
- Individual RAUM · $29.2M to $30.8MDec 13, 2021 to Mar 5, 2022
- Non-discretionary RAUM · $21.3M to $22.3MDec 13, 2021 to Mar 5, 2022
- RAUM · $142M to $163MDec 13, 2021 to Mar 5, 2022
- Accounts · 456 to 497Jun 29, 2020 to Mar 11, 2021
- HNW clients · 40 to 51Jun 29, 2020 to Mar 11, 2021
- Individual clients · 70 to 54Jun 29, 2020 to Mar 11, 2021
- Discretionary RAUM · $99.4M to $121MJun 29, 2020 to Mar 11, 2021
- HNW RAUM · $81.4M to $113MJun 29, 2020 to Mar 11, 2021
Signals
6 dated events
- B•••• W••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $199.5M)Jan 2, 2026 · Left the SEC roster · derived
- T•••••• B•••••• B•••• left B•••• W••••• M••••••••• L•• for M•••••• W••••• M••••••••• L• (registered 2025-06-23)Dec 22, 2025 · Advisor changed firm · fact
- P•••• J• H••• left B•••• W••••• M••••••••• L•• for M•••••• W••••• M••••••••• L• (registered 2025-04-01)Dec 22, 2025 · Advisor changed firm · fact
- 2 advisors left B•••• W••••• M••••••••• L•• (Eden Prairie, MN) for M•••••• W••••• M••••••••• L• on the same dayDec 22, 2025 · Team lift-out · derived
- M•••••• J••• U••• left B•••• W••••• M••••••••• L•• for 3•• F•••••••• (registered 2023-05-22)May 11, 2023 · Advisor changed firm · fact
- B•••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Feb 24, 2018 · 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.
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