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
C••••••••• W••••• A•••••••• I•••
Latest filing Jun 11, 2026
First filing on the tape Feb 21, 2012 · 19 filings
SEC status approved since Feb 20, 2003
RAUM
$609M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
99%
$601M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$122M
derived; firm RAUM over IAPD count
Employees
8
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$609M as of Jun 11, 2026
Feb 21, 2012$140M then
HNW client RAUM$501M as of Jun 11, 2026
Mar 7, 2018$174M then
State-registered IARs (5.B.3)5 as of Jun 11, 2026
Feb 21, 20120 then
Employees (5.A)8 as of Jun 11, 2026
Mar 11, 20135 then
Private funds: no history
RAUM +15% over the last fiscal year+17% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Jun 11, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- $122MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 67derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $411,533derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 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
- +2.4%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $304M, 217 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$501M82%
- Individuals$100M16%
- Charitable organizations$7.3M1.2%
- Individual clients
- 163reported
- HNW clients
- 173reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 1,479reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $304M for 217 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••• N••••• E••••Certified Financial Planner | Edina, Mn | Feb 4, 2014 | 22 y | 0 |
| J••••••• T••• G•••••Certified Financial Planner | Edina, Mn | Feb 4, 2014 | 36 y | 0 |
| S••• E•••••••• K•••••Certified Financial Planner | Edina, Mn | Dec 22, 2017 | 13 y | 0 |
| C••••• J••• C•••Certified Financial Planner | Edina, Mn | Mar 5, 2021 | 10 y | 0 |
| O••••• A•• P•••••Certified Financial Planner | Edina, Mn | Aug 2, 2023 | 11 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
- M•••••• A•••••• B•••••• to T•• P••••••• C•••••• I•••Jul 16, 2015 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E••••• A•••••• N••••• · Principalcontrolsince 12/2019 · owns 50% to 75%
- G•••••• J•••••••• T••• · Principal And Chief Compliance Officercontrolsince 02/2003 · owns 25% to 50%
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 | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,541 to 1,479Mar 12, 2025 to Mar 12, 2026
- Advisory employees · 5 to 8Mar 12, 2025 to Mar 12, 2026
- HNW clients · 171 to 173Mar 12, 2025 to Mar 12, 2026
- Individual clients · 157 to 163Mar 12, 2025 to Mar 12, 2026
- Assets in custody · $262M to $304MMar 12, 2025 to Mar 12, 2026
- Financial planning clients · 0 to 1-10Mar 12, 2025 to Mar 12, 2026
- Discretionary RAUM · $512M to $588MMar 12, 2025 to Mar 12, 2026
- HNW RAUM · $444M to $501MMar 12, 2025 to Mar 12, 2026
- Individual RAUM · $82.1M to $100MMar 12, 2025 to Mar 12, 2026
- Non-discretionary RAUM · $15.4M to $21.1MMar 12, 2025 to Mar 12, 2026
- RAUM · $528M to $609MMar 12, 2025 to Mar 12, 2026
- Accounts · 1,410 to 1,541Aug 1, 2024 to Mar 12, 2025
- HNW clients · 187 to 171Aug 1, 2024 to Mar 12, 2025
- Individual clients · 135 to 157Aug 1, 2024 to Mar 12, 2025
- Assets in custody · $194M to $262MAug 1, 2024 to Mar 12, 2025
- Employees · 9 to 8Aug 1, 2024 to Mar 12, 2025
- Financial planning clients · 0 to 0Aug 1, 2024 to Mar 12, 2025
- Discretionary RAUM · $433M to $512MAug 1, 2024 to Mar 12, 2025
- HNW RAUM · $395M to $444MAug 1, 2024 to Mar 12, 2025
- Individual RAUM · $48.8M to $82.1MAug 1, 2024 to Mar 12, 2025
- Non-discretionary RAUM · $12.5M to $15.4MAug 1, 2024 to Mar 12, 2025
- RAUM · $445M to $528MAug 1, 2024 to Mar 12, 2025
- Accounts · 1,397 to 1,410Feb 24, 2023 to Mar 14, 2024
- Advisory employees · 4 to 5Feb 24, 2023 to Mar 14, 2024
- HNW clients · 215 to 187Feb 24, 2023 to Mar 14, 2024
- Individual clients · 97 to 135Feb 24, 2023 to Mar 14, 2024
- Assets in custody · $171M to $194MFeb 24, 2023 to Mar 14, 2024
- Employees · 4 to 9Feb 24, 2023 to Mar 14, 2024
- Financial planning clients · 1-10 to 0Feb 24, 2023 to Mar 14, 2024
- State-registered IARs · 4 to 5Feb 24, 2023 to Mar 14, 2024
- Discretionary RAUM · $356M to $433MFeb 24, 2023 to Mar 14, 2024
- HNW RAUM · $351M to $395MFeb 24, 2023 to Mar 14, 2024
- Individual RAUM · $32.1M to $48.8MFeb 24, 2023 to Mar 14, 2024
- Non-discretionary RAUM · $28.8M to $12.5MFeb 24, 2023 to Mar 14, 2024
- RAUM · $384M to $445MFeb 24, 2023 to Mar 14, 2024
- Accounts · 1,364 to 1,397Mar 21, 2022 to Feb 24, 2023
- Charity clients · unset to 1.0Mar 21, 2022 to Feb 24, 2023
- HNW clients · 188 to 215Mar 21, 2022 to Feb 24, 2023
- Individual clients · 122 to 97Mar 21, 2022 to Feb 24, 2023
- Assets in custody · $163M to $171MMar 21, 2022 to Feb 24, 2023
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.
How to reach
public business contact points only, each with its source
- Business email
- info@cornerstonewealthadvisors.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-383-2718reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 952-920-3900reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 952-920-9567reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (952) 920-3900reportedpublic record, Form ADV, Jun 11, 2026
- Contact form
- cornerstonewealthadvisors.com/contactreportedpublished 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
- $122Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026