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.
SEC-registered adviser
Tradition Wealth Management LLC
Latest filing Jun 12, 2026
First filing on the tape Nov 11, 2011 · 29 filings
SEC status approved since Jan 30, 2004
RAUM
$2.6B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
85%
$2.2B individuals and HNW
Advisors
24
registered through the firm on IAPD
RAUM per advisor
$108M
derived; firm RAUM over IAPD count
Employees
32
30 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$2.6B as of Jun 12, 2026
Feb 22, 2012$171M then
HNW client RAUM$1.8B as of Jun 12, 2026
Mar 31, 2018$236M then
State-registered IARs (5.B.3)26 as of Jun 12, 2026
Mar 1, 20132 then
Employees (5.A)32 as of Jun 12, 2026
Mar 1, 20138 then
Private funds: no history
RAUM +33% over the last fiscal year+34% a year over threeIARs 21 to 26
Practice profile
derived from the filing of Jun 12, 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
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $108MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 90derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $451,075derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 14%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 6.0derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +24%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, otherreportedItem 5.G
- Financial planning clients
- 1,500reportedItem 5.H
- Custody
- $611M, 906 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.8B71%
- Individuals$383M15%
- Pension and profit-sharing plans$353M14%
- Corporations and businesses$25.4M1.0%
- Charitable organizations$150,5760.0%
- Individual clients
- 1,576reported
- HNW clients
- 579reported
- Pension plan clients
- 69reported
- Charitable clients
- n/areported
- Accounts
- 5,771reported
- Financial planning clients
- 1,500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $611M for 906 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.85 fund_share=0.0 institutional_share=0.14 related_bd=false related_bank=false bd_reps=17.0derived
Advisors registered through the firm
24 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| John Leslie Hause | Edina, Mn | Nov 1, 2004 | 29 y | 0 |
| Chadwick James Schumacher | Edina, Mn | Nov 1, 2004 | 32 y | 0 |
| David Christian Anderson | Edina, Mn | Jan 31, 2014 | 19 y | 0 |
| Timothy Charles GundersonCertified Financial Planner | Woodbury, Mn | Jan 31, 2014 | 25 y | 0 |
| Christine Marie Sorensen | Edina, Mn | Jan 31, 2014 | 27 y | 0 |
| Bradley Allan Johnson | Edina, Mn | Jan 31, 2014 | 34 y | 0 |
| Gregory Allen TrebilCertified Financial Planner | Edina, Mn | Aug 25, 2017 | 12 y | 2 |
| Mark Sterling Walsingham | Edina, Mn | Sep 29, 2017 | 15 y | 2 |
| Jacob Thomas Taylor | Edina, Mn | Nov 25, 2017 | 11 y | 1 |
| Eric Jon Peyton | Edina, Mn | Feb 9, 2018 | 19 y | 1 |
| Christopher Leivermann | Edina, Mn | Jul 17, 2019 | 13 y | 1 |
| Cory Carlson | Edina, Mn | Nov 6, 2019 | 12 y | 0 |
| Jack Sowada | Edina, Mn | Mar 14, 2020 | 10 y | 0 |
| Ryan T HaagCertified Financial Planner, Chartered Financial Consultant | Edina, Mn | Feb 1, 2021 | 32 y | 1 |
| Carter Matthew SpringerCertified Financial Planner | Edina, Mn | Oct 18, 2021 | 13 y | 0 |
| Benjamin M Johnson | Edina, Mn | Mar 15, 2023 | 31 y | 1 |
| Jon MichelizziCertified Financial Planner | Edina, Mn | Apr 5, 2023 | 31 y | 0 |
| Julie Ann GreyChartered Financial Analyst | Edina, Mn | Aug 2, 2023 | 29 y | 0 |
| William Bradley Johnson | Edina, Mn | Jun 5, 2024 | 13 y | 1 |
| Tucker Rj Schumacher | Edina, Mn | Nov 26, 2024 | 11 y | 1 |
| Joseph John Hankinson | Edina, Mn | Dec 17, 2025 | 11 y | 0 |
| Maxwel Daniel Fagan | Scottsdale, Az | Jan 28, 2026 | 13 y | 1 |
| Joseph Michelizzi | Edina, Mn | Feb 19, 2026 | 10 y | 0 |
| Tristan Peyton | Wayzata, Mn | Jul 22, 2026 | 11 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Jon Thomas Kattke to Strategic Wealth GroupFeb 17, 2017 · Other
Joined, latest
- Maxwel Daniel Fagan from Ameriprise Financial Services, LLCJan 28, 2026 · Affiliated broker-dealer or bank to independent RIA
- Tucker Rj Schumacher from Concourse Financial Group AdvisorsNov 26, 2024 · Affiliated broker-dealer or bank to independent RIA
- William Bradley Johnson from Concourse Financial Group AdvisorsJun 5, 2024 · Affiliated broker-dealer or bank to independent RIA
- Benjamin M Johnson from New Era Financial Advisors, Inc.Mar 15, 2023 · RIA to RIA
- Ryan T Haag from Osaic Fa, Inc.Feb 1, 2021 · Affiliated broker-dealer or bank to independent RIA
- Christopher Leivermann from Park Avenue Securities LLCJul 17, 2019 · Affiliated broker-dealer or bank to independent RIA
- Eric Jon Peyton from Merrill Lynch, Pierce, Fenner & Smith IncorporatedFeb 9, 2018 · Other
- Jacob Thomas Taylor from Concourse Financial Group AdvisorsNov 25, 2017 · Other
- Mark Sterling Walsingham from Gradient Wealth ManagementSep 29, 2017 · Other
- Gregory Allen Trebil from Concourse Financial Group AdvisorsAug 25, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- James Chadwick Schumacher · Directorcontrolsince 02/2003 · owns 25% to 50%
- Sterling Mark Walsingham · Chief Compliance Officercontrolsince 03/2018 · owns less than 5%
- Charles Timothy Gunderson · Membersince 06/2006 · owns 10% to 25%
- Leslie John Hause · Membersince 06/2006 · owns 10% to 25%
- Allan Bradley Johnson · Membersince 06/2006 · owns 10% to 25%
Related persons
Schedule D 7.A
- Tradition Wealth Management Insurance Agencyreal estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Edina, Mn · principal | 24 | 4 | 0 | ||
| Scottsdale, Az | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Woodbury, MN2 employees
- Scottsdale, AZ2 employees
- Wayzata, MN1 employees
What changed
consecutive filings, newest first
- Accounts · 5,543 to 5,771Mar 23, 2026 to Jun 12, 2026
- Corporate clients · 18 to 20Mar 23, 2026 to Jun 12, 2026
- HNW clients · 572 to 579Mar 23, 2026 to Jun 12, 2026
- Individual clients · 1,535 to 1,576Mar 23, 2026 to Jun 12, 2026
- Pension plan clients · 65 to 69Mar 23, 2026 to Jun 12, 2026
- Assets in custody · $580M to $611MMar 23, 2026 to Jun 12, 2026
- Discretionary RAUM · $2.3B to $2.5BMar 23, 2026 to Jun 12, 2026
- HNW RAUM · $1.7B to $1.8BMar 23, 2026 to Jun 12, 2026
- Individual RAUM · $340M to $383MMar 23, 2026 to Jun 12, 2026
- Non-discretionary RAUM · $24.1M to $54.3MMar 23, 2026 to Jun 12, 2026
- Pension RAUM · $316M to $353MMar 23, 2026 to Jun 12, 2026
- RAUM · $2.4B to $2.6BMar 23, 2026 to Jun 12, 2026
- Accounts · 5,271 to 5,543Mar 26, 2025 to Mar 23, 2026
- Advisory employees · 28 to 30Mar 26, 2025 to Mar 23, 2026
- BD registered reps · 16 to 17Mar 26, 2025 to Mar 23, 2026
- Charity clients · 36.0 to unsetMar 26, 2025 to Mar 23, 2026
- Corporate clients · 32 to 18Mar 26, 2025 to Mar 23, 2026
- HNW clients · 433 to 572Mar 26, 2025 to Mar 23, 2026
- Individual clients · 1,608 to 1,535Mar 26, 2025 to Mar 23, 2026
- Pension plan clients · 53 to 65Mar 26, 2025 to Mar 23, 2026
- Assets in custody · $460M to $580MMar 26, 2025 to Mar 23, 2026
- Employees · 28 to 32Mar 26, 2025 to Mar 23, 2026
- State-registered IARs · 21 to 26Mar 26, 2025 to Mar 23, 2026
- Discretionary RAUM · $1.9B to $2.3BMar 26, 2025 to Mar 23, 2026
- HNW RAUM · $1.2B to $1.7BMar 26, 2025 to Mar 23, 2026
- Individual RAUM · $460M to $340MMar 26, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $25.2M to $24.1MMar 26, 2025 to Mar 23, 2026
- Pension RAUM · $209M to $316MMar 26, 2025 to Mar 23, 2026
- RAUM · $2.0B to $2.4BMar 26, 2025 to Mar 23, 2026
- Accounts · 4,688 to 5,271Mar 26, 2024 to Mar 26, 2025
- Advisory employees · 23 to 28Mar 26, 2024 to Mar 26, 2025
- BD registered reps · 15 to 16Mar 26, 2024 to Mar 26, 2025
- Charity clients · 31 to 36Mar 26, 2024 to Mar 26, 2025
- Corporate clients · 13 to 32Mar 26, 2024 to Mar 26, 2025
- HNW clients · 420 to 433Mar 26, 2024 to Mar 26, 2025
- Individual clients · 1,472 to 1,608Mar 26, 2024 to Mar 26, 2025
- Pension plan clients · 41 to 53Mar 26, 2024 to Mar 26, 2025
- Assets in custody · $76.8M to $460MMar 26, 2024 to Mar 26, 2025
- Employees · 27 to 28Mar 26, 2024 to Mar 26, 2025
- Financial planning clients · More than 500 to More than 500Mar 26, 2024 to Mar 26, 2025
Signals
4 dated events
- Tradition Wealth Management Llc reported RAUM $2.0B, up 28% from $1.5B (2024-03-26 to 2025-03-26)Mar 26, 2025 · RAUM change · derived
- Tradition Wealth Management Llc reported RAUM $1.5B, up 39% from $1.1B (2023-03-27 to 2024-03-26)Mar 26, 2024 · RAUM change · derived
- Tradition Wealth Management Llc reported RAUM $1.1B, up 35% from $848.4M (2021-03-25 to 2022-03-23)Mar 23, 2022 · RAUM change · derived
- Tradition Wealth Management Llc reported RAUM $712.4M, up 32% from $539.4M (2019-06-24 to 2020-04-01)Apr 1, 2020 · RAUM change · derived
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@traditionwealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- chads@traditionwealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- brenda.haag@traditionwealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- jeff.praus@traditionwealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- rhonda.motzko@traditionwealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 877-563-6501reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 480-864-5393reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 952-563-6500reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/24429914reportedpublic record, Form ADV, Sep 17, 2026
- Website
- TRADITIONWEALTH.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 952-563-6500reportedpublic record, Form ADV, Jun 12, 2026
- Contact form
- traditionwealthmanagement.com/contactreportedpublished 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
- $108Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026