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

C•••••• F•••••••• G••••

Former SEC-registered adviserNorth Oaks, MinnesotaCRD 134781SEC 801-69904IAPD
Legal name C•••••• F•••••••• G••••• L••
Latest filing Apr 9, 2013
First filing on the tape Dec 9, 2011 · 4 filings
RAUM
$83.9M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$42.0M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$83.9M as of Mar 18, 2013
Feb 28, 2012$92.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 18, 2013
Feb 28, 20120 then
Employees (5.A): 3
Private funds: no history
RAUM -9.0% over the last fiscal yearIARs 0 to 2
Practice profile
derived from the filing of Apr 9, 2013; every figure names its basis
RAUM per advisor
$42.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$116,733derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-9.0%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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
  • buys or sells securities as principal to or from clients (8.A.2)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
719reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
S••••• C••••••••• L•••••Certified Financial PlannerWhite Bear Lake, MnJan 12, 201635 y3
K••••••• M••• L•••••Certified Financial PlannerWhite Bear Lake, MnJan 12, 201633 y0
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
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • L•••••• S•••••• C••••••••• · Chief Compliance Officer & Managing Membercontrol
      since 03/2005 · 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
    OfficeAdvisorsJoinedLeftTeams outForming
    White Bear Lake, Mn200
    Offices
    Schedule D 1.F, the 25 largest
    • Forest Lake, MN
    What changed
    consecutive filings, newest first
    • Accounts · 707 to 719
      Feb 28, 2012 to Mar 18, 2013
    • Advisory employees · unset to 2.0
      Feb 28, 2012 to Mar 18, 2013
    • Advisory activities · 3 to 2
      Feb 28, 2012 to Mar 18, 2013
    • Employees · unset to 3.0
      Feb 28, 2012 to Mar 18, 2013
    • State-registered IARs · 0 to 2
      Feb 28, 2012 to Mar 18, 2013
    • Non-discretionary RAUM · $92.2M to $83.9M
      Feb 28, 2012 to Mar 18, 2013
    • RAUM · $92.2M to $83.9M
      Feb 28, 2012 to Mar 18, 2013
    • Accounts · 641 to 707
      Dec 9, 2011 to Feb 28, 2012
    • Insurance-licensed employees · unset to 0.0
      Dec 9, 2011 to Feb 28, 2012
    • Non-discretionary RAUM · $83.8M to $92.2M
      Dec 9, 2011 to Feb 28, 2012
    • RAUM · $83.8M to $92.2M
      Dec 9, 2011 to Feb 28, 2012
    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
    Website
    lionsgatesovereigncapital.comreportedpublic record, Form ADV, Sep 19, 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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $42.0Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026