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
F•••••••• S••••••••• G••••
Legal name C•••••• A•••• M••••••••• L••
Latest filing May 5, 2026
First filing on the tape Jan 25, 2012 · 58 filings
SEC status approved since Dec 1, 2006
RAUM
$189M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$187M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$47.3M
derived; firm RAUM over IAPD count
Employees
10
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
58 filings and snapshots on the tape
RAUM$189M as of May 5, 2026
Jan 30, 2012$90.3M then
HNW client RAUM$66.0M as of May 5, 2026
Mar 1, 2018$34.6M then
State-registered IARs (5.B.3)4 as of May 5, 2026
Feb 19, 20135 then
Employees (5.A)10 as of May 5, 2026
Feb 19, 20135 then
Private funds: no history
RAUM +11% over the last fiscal year+6.1% a year over threeIARs 5 to 4
Practice profile
derived from the filing of May 5, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $47.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 165derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $140,526derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
- Custody
- $18.3M, 80 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
- Individuals$121M64%
- High-net-worth individuals$66.0M35%
- Charitable organizations$2.1M1.1%
- Corporations and businesses$85,0000.0%
- Individual clients
- 602reported
- HNW clients
- 57reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,346reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $18.3M for 80 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• V••••• Y••••Certified Financial Planner | Fargo, Nd | Jul 5, 2006 | 27 y | 1 |
| C•••• A••• R•••••• | Fargo, Nd | Jul 5, 2006 | 23 y | 3 |
| D•••••• G••• S•••••• | Fargo, Nd | Jul 5, 2006 | 38 y | 4 |
| A••••• T••••• A•••• | Fargo, Nd | Mar 11, 2022 | 21 y | 1 |
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 headcount2 left over 36 months
Left, latest
- J•••••• A•••••••• H•••••••• to S••••• A•••• M••••••••• L•••••Mar 31, 2025 · RIA to RIA
- T•••• L••• H•••••••• to C••••• A••••••• G••••• L••Jan 17, 2024 · RIA to RIA
Joined, latest
- C•••• A••• R•••••• from Q•••••• A•••• M••••••••• I•••Jul 5, 2006 · Other
- D•••••• G••• S•••••• from Q•••••• A•••• M••••••••• I•••Jul 5, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••••• C••••• A••• · Managing Membercontrolsince 01/2013 · owns less than 5%
- Y••••• M••••••• V••••• · Cco And Managing Membercontrolsince 05/2007 · owns less than 5%
- R••••••• C••••• A••• · Managing Membercontrolsince 08/2018 · owns 25% to 50% of C•••••• H•••••••• L••
- S••••••• D••••••• G••• · Membercontrolsince 01/2013 · owns 25% to 50% of C•••••• H•••••••• L••
- Y••••• M••••••• V••••• · Managing Membercontrolsince 01/2013 · owns 25% to 50% of C•••••• H•••••••• L••
Entity owners
- C•••••• H•••••••• L•• · Holding Company/Ownerdirect · 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 |
|---|---|---|---|---|---|
| Fargo, Nd · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Lakewood, CO1 employees
ADV anomalies
0 against comparable advisers; where to look, not conclusions
Nothing stands out against peers.
Data quality: the 2026-03-31 holdings report shows $597,755,696 across 101 positions while Form ADV reports RAUM of $189,148,000 (3.2x); one of the two is misfiled, misattributed or in the wrong unit
What changed
consecutive filings, newest first
- Related adviser · false to trueJan 29, 2026 to Feb 6, 2026
- Accounts · 1,344 to 1,346Aug 22, 2025 to Jan 29, 2026
- Advisory employees · 5 to 4Aug 22, 2025 to Jan 29, 2026
- BD registered reps · 4 to 3Aug 22, 2025 to Jan 29, 2026
- HNW clients · 51 to 57Aug 22, 2025 to Jan 29, 2026
- Individual clients · 608 to 602Aug 22, 2025 to Jan 29, 2026
- Assets in custody · $12.9M to $18.3MAug 22, 2025 to Jan 29, 2026
- Insurance-licensed employees · 5 to 0Aug 22, 2025 to Jan 29, 2026
- State-registered IARs · 5 to 4Aug 22, 2025 to Jan 29, 2026
- Discretionary RAUM · $168M to $187MAug 22, 2025 to Jan 29, 2026
- HNW RAUM · $54.2M to $66.0MAug 22, 2025 to Jan 29, 2026
- Individual RAUM · $114M to $121MAug 22, 2025 to Jan 29, 2026
- Non-discretionary RAUM · $1.8M to $2.0MAug 22, 2025 to Jan 29, 2026
- RAUM · $170M to $189MAug 22, 2025 to Jan 29, 2026
- Accounts · 1,968 to 1,344Oct 14, 2024 to Feb 18, 2025
- Business name · C•••••• A•••• M••••••••• L•• to F•••••••• S••••••••• G••••Oct 14, 2024 to Feb 18, 2025
- HNW clients · 32 to 51Oct 14, 2024 to Feb 18, 2025
- Individual clients · 911 to 608Oct 14, 2024 to Feb 18, 2025
- Assets in custody · $9.4M to $12.9MOct 14, 2024 to Feb 18, 2025
- Financial planning clients · 1-10 to 1-10Oct 14, 2024 to Feb 18, 2025
- Discretionary RAUM · $180M to $168MOct 14, 2024 to Feb 18, 2025
- HNW RAUM · $37.0M to $54.2MOct 14, 2024 to Feb 18, 2025
- Individual RAUM · $143M to $114MOct 14, 2024 to Feb 18, 2025
- Non-discretionary RAUM · $1.9M to $1.8MOct 14, 2024 to Feb 18, 2025
- RAUM · $182M to $170MOct 14, 2024 to Feb 18, 2025
- Related broker-dealer · true to falseMar 19, 2024 to May 1, 2024
- Accounts · 1,891 to 1,968Jun 1, 2023 to Mar 19, 2024
- Advisory employees · 6 to 5Jun 1, 2023 to Mar 19, 2024
- BD registered reps · 5 to 4Jun 1, 2023 to Mar 19, 2024
- Charity clients · 3.0 to unsetJun 1, 2023 to Mar 19, 2024
- Corporate clients · 1.0 to unsetJun 1, 2023 to Mar 19, 2024
- HNW clients · 39 to 32Jun 1, 2023 to Mar 19, 2024
- Individual clients · 874 to 911Jun 1, 2023 to Mar 19, 2024
- Assets in custody · $10.1M to $9.4MJun 1, 2023 to Mar 19, 2024
- Employees · 12 to 10Jun 1, 2023 to Mar 19, 2024
- Insurance-licensed employees · 0 to 5Jun 1, 2023 to Mar 19, 2024
- State-registered IARs · 6 to 5Jun 1, 2023 to Mar 19, 2024
- Discretionary RAUM · $157M to $180MJun 1, 2023 to Mar 19, 2024
- HNW RAUM · $29.6M to $37.0MJun 1, 2023 to Mar 19, 2024
- Individual RAUM · $127M to $143MJun 1, 2023 to Mar 19, 2024
Signals
4 dated events
- J•••••• A•••••••• H•••••••• left F•••••••• S••••••••• G•••• for S••••• A•••• M••••••••• L••••• (registered 2024-04-01)Mar 31, 2025 · Advisor changed firm · fact
- T•••• L••• H•••••••• left F•••••••• S••••••••• G•••• for C••••• A••••••• G••••• L•• (registered 2024-01-17)Jan 17, 2024 · Advisor changed firm · fact
- Victor Mark Young (Managing Member) no longer on Schedule A of F•••••••• S••••••••• G•••• (listed 2019-02-06, absent 2019-04-04)Apr 4, 2019 · Control person left · inference
- F•••••••• S••••••••• G••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 25, 2012 · Succession (Item 4) · 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
- service@finstrat.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 701-234-0103reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 701-234-0106reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 701-234-0103reportedpublic record, Form ADV, May 5, 2026
- Contact form
- FINSTRAT.COM/get-in-touchreportedpublished by the firm, firm site, Sep 16, 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
- $47.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026