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
L••••• W••••• P•••••••
Legal name L••••• W••••• P••••••• L••
Latest filing May 26, 2026
First filing on the tape Jan 16, 2014 · 37 filings
SEC status approved since Feb 10, 2014
RAUM
$454M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$454M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$75.6M
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$454M as of May 26, 2026
Jan 14, 2015$135M then
HNW client RAUM$434M as of May 26, 2026
Mar 5, 2018$138M then
State-registered IARs (5.B.3)6 as of May 26, 2026
Jan 14, 20155 then
Employees (5.A)8 as of May 26, 2026
Jan 14, 20159 then
Private funds: no history
RAUM +15% over the last fiscal year+11% a year over threeIARs 6 to 6
Practice profile
derived from the filing of May 26, 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
- RAUM per advisor
- $75.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 30derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $450,042derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 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
- +5.4%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $6.9M, 5 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$434M96%
- Individuals$19.2M4.2%
- Individual clients
- 48reported
- HNW clients
- 129reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,008reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $226,910 managedreported
- Custody of client assets
- $6.9M for 5 clientsreported
- Compensation
- % of AUM, 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
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L•••• A•• K••••Personal Financial Specialist | Edina, Mn | Nov 19, 2013 | 34 y | 0 |
| M•••••• A••••• K••••••Certified Financial Planner | Edina, Mn | Oct 7, 2015 | 10 y | 0 |
| J•••• T••••• K•••••••Certified Financial Planner | Edina, Mn | Nov 16, 2017 | 13 y | 0 |
| M•••••• L•• C•••••Certified Financial Planner | Edina, Mn | Feb 28, 2023 | 14 y | 1 |
| K•••••••• E•••••••• T••• | Edina, Mn | Dec 9, 2024 | 22 y | 0 |
| F•••• J•••• K•••••••••Certified Financial Planner | Edina, Mn | Feb 21, 2025 | 14 y | 0 |
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 headcount0 left over 36 months
Left, latest
- A••• M••••••• W••• to D••••••Mar 29, 2023 · RIA to RIA
- S••• R••••• B•••••• to A••••••• I••••••••• C••••••••• L••Apr 26, 2020 · RIA to RIA
- J••••• B•••• D••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Sep 4, 2018 · RIA to affiliated broker-dealer or bank
Joined, latest
- M•••••• L•• C••••• from F•• W••••• M••••••••• L••Feb 28, 2023 · RIA to RIA
- A••• M••••••• W••• from A••••••• I••••••••• C••••••••• L••Apr 21, 2020 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••• L••••• A•• · Member And Ccocontrolsince 01/1998 · owns 75% or more
- K••••••• M••••••• A••••• · Membersince 07/2019 · owns 5% to 10%
- W•••• A•••• M••••••• · Membersince 12/2020 · owns 10% to 25%
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 | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 941 to 1,008Oct 3, 2025 to Mar 17, 2026
- HNW clients · 114 to 129Oct 3, 2025 to Mar 17, 2026
- Individual clients · 54 to 48Oct 3, 2025 to Mar 17, 2026
- Assets in custody · $6.1M to $6.9MOct 3, 2025 to Mar 17, 2026
- Discretionary RAUM · $391M to $448MOct 3, 2025 to Mar 17, 2026
- HNW RAUM · $371M to $434MOct 3, 2025 to Mar 17, 2026
- Individual RAUM · $24.9M to $19.2MOct 3, 2025 to Mar 17, 2026
- Non-discretionary RAUM · $4.5M to $6.0MOct 3, 2025 to Mar 17, 2026
- RAUM · $396M to $454MOct 3, 2025 to Mar 17, 2026
- Wrap assets (manager) · unset to 226910.0Oct 3, 2025 to Mar 17, 2026
- Wrap assets (sponsor) · unset to 0.0Oct 3, 2025 to Mar 17, 2026
- Advisory employees · 8 to 6May 28, 2025 to Oct 3, 2025
- Assets in custody · $1.3M to $6.1MMay 28, 2025 to Oct 3, 2025
- Custody of client assets · false to trueMay 28, 2025 to Oct 3, 2025
- Assets in custody · $6.1M to $1.3MFeb 25, 2025 to May 28, 2025
- Financial planning clients · 101-250 to 101-250Feb 25, 2025 to May 28, 2025
- Accounts · 889 to 941Jun 22, 2024 to Feb 25, 2025
- Advisory employees · 7 to 8Jun 22, 2024 to Feb 25, 2025
- Advisory activities · 3 to 2Jun 22, 2024 to Feb 25, 2025
- HNW clients · 109 to 114Jun 22, 2024 to Feb 25, 2025
- Assets in custody · $4.1M to $6.1MJun 22, 2024 to Feb 25, 2025
- Employees · 7 to 8Jun 22, 2024 to Feb 25, 2025
- State-registered IARs · 4 to 6Jun 22, 2024 to Feb 25, 2025
- Discretionary RAUM · $351M to $391MJun 22, 2024 to Feb 25, 2025
- HNW RAUM · $326M to $371MJun 22, 2024 to Feb 25, 2025
- Individual RAUM · $22.4M to $24.9MJun 22, 2024 to Feb 25, 2025
- Non-discretionary RAUM · $3.6M to $4.5MJun 22, 2024 to Feb 25, 2025
- Pension RAUM · 6761871.0 to unsetJun 22, 2024 to Feb 25, 2025
- RAUM · $355M to $396MJun 22, 2024 to Feb 25, 2025
- Accounts · 840 to 889Oct 30, 2023 to Mar 15, 2024
- Advisory employees · 8 to 7Oct 30, 2023 to Mar 15, 2024
- Advisory activities · 2 to 3Oct 30, 2023 to Mar 15, 2024
- HNW clients · 115 to 109Oct 30, 2023 to Mar 15, 2024
- Individual clients · 56 to 54Oct 30, 2023 to Mar 15, 2024
- Assets in custody · $4.2M to $4.1MOct 30, 2023 to Mar 15, 2024
- Custody of client assets · true to falseOct 30, 2023 to Mar 15, 2024
- Employees · 8 to 7Oct 30, 2023 to Mar 15, 2024
- Discretionary RAUM · $325M to $351MOct 30, 2023 to Mar 15, 2024
- HNW RAUM · $310M to $326MOct 30, 2023 to Mar 15, 2024
- Individual RAUM · $21.6M to $22.4MOct 30, 2023 to Mar 15, 2024
Signals
2 dated events
- A••• M••••••• W••• left L••••• W••••• P••••••• for Dynamic (registered 2023-04-03)Mar 29, 2023 · Advisor changed firm · fact
- L••••• W••••• P••••••• filed its initial SEC registration (Form ADV)Jan 16, 2014 · 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 phone
- 952-854-6250reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 952-854-6276reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/laurel-wealth-planningreportedpublic record, Form ADV, Sep 18, 2026
- Website
- L•••••WEALTHP•••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 952-854-6250reportedpublic record, Form ADV, May 26, 2026
- Team page
- laurelwealthplanning.com/meet-the-teamreportedpublished 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
- $75.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026