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

T•••• I••••••••• A•••••••• I•••

Former SEC-registered adviserCRD 123326SEC 801-118320IAPD
Latest filing Mar 19, 2021
First filing on the tape Mar 22, 2012 · 9 filings
RAUM
$107M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$106M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$107M as of Mar 19, 2021
Mar 22, 2012$47.5M then
HNW client RAUM$66.1M as of Mar 19, 2021
Mar 23, 2020$62.9M then
State-registered IARs (5.B.3)2 as of Mar 19, 2021
Mar 22, 20120 then
Employees (5.A)2 as of Mar 19, 2021
Mar 23, 20202 then
Private funds: no history
RAUM +5.1% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 19, 2021; every figure names its basis
RAUM per advisor
$53.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
68derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.6MderivedHNW RAUM over HNW clients
Average account
$786,761derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+5.1%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-2.9%derived
Compensation
percentage of assets, hourlyreportedItem 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
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$66.1M62%
  • Individuals$39.9M37%
  • Pension and profit-sharing plans$1.0M0.9%
Individual clients
110reported
HNW clients
25reported
Pension plan clients
1reported
Charitable clients
n/areported
Accounts
136reported
Financial planning clients
26-50reported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • R••••••••• B••••• D•••• · Partner, Wealth Managercontrol
      since 01/2002 · owns 25% to 50%
    • R••••••••• D••••• J••••• · President / Chief Compliance Officercontrol
      since 07/1986 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Chaska, MN1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 140 to 136
      May 29, 2020 to Mar 19, 2021
    • Individual clients · 114 to 110
      May 29, 2020 to Mar 19, 2021
    • Discretionary RAUM · $101M to $106M
      May 29, 2020 to Mar 19, 2021
    • HNW RAUM · $62.9M to $66.1M
      May 29, 2020 to Mar 19, 2021
    • Individual RAUM · $37.9M to $39.9M
      May 29, 2020 to Mar 19, 2021
    • RAUM · $102M to $107M
      May 29, 2020 to Mar 19, 2021
    • Accounts · 492 to 140
      Jun 14, 2012 to Feb 26, 2020
    • Advisory employees · unset to 2.0
      Jun 14, 2012 to Feb 26, 2020
    • Advisory activities · 1 to 3
      Jun 14, 2012 to Feb 26, 2020
    • HNW clients · unset to 25.0
      Jun 14, 2012 to Feb 26, 2020
    • Individual clients · unset to 114.0
      Jun 14, 2012 to Feb 26, 2020
    • Pension plan clients · unset to 1.0
      Jun 14, 2012 to Feb 26, 2020
    • Employees · unset to 2.0
      Jun 14, 2012 to Feb 26, 2020
    • Financial planning clients · 0 to 26-50
      Jun 14, 2012 to Feb 26, 2020
    • State-registered IARs · 0 to 2
      Jun 14, 2012 to Feb 26, 2020
    • Other offices · unset to 1.0
      Jun 14, 2012 to Feb 26, 2020
    • Discretionary RAUM · $52.1M to $101M
      Jun 14, 2012 to Feb 26, 2020
    • HNW RAUM · unset to 62884302.0
      Jun 14, 2012 to Feb 26, 2020
    • Individual RAUM · unset to 37895257.0
      Jun 14, 2012 to Feb 26, 2020
    • Non-discretionary RAUM · $0 to $1.0M
      Jun 14, 2012 to Feb 26, 2020
    • Pension RAUM · unset to 1000000.0
      Jun 14, 2012 to Feb 26, 2020
    • RAUM · $52.1M to $102M
      Jun 14, 2012 to Feb 26, 2020
    • Accounts · 440 to 492
      Mar 22, 2012 to Jun 12, 2012
    • Discretionary RAUM · $47.5M to $52.1M
      Mar 22, 2012 to Jun 12, 2012
    • RAUM · $47.5M to $52.1M
      Mar 22, 2012 to Jun 12, 2012
    Signals
    1 dated events
    • T•••• I••••••••• A•••••••• I••• filed its initial SEC registration (Form ADV)
      Feb 26, 2020 · 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