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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
F•••••••• P•••••••••
Legal name F•••••••• P••••••••• I•••
Latest filing Mar 25, 2026
First filing on the tape May 20, 2015 · 32 filings
SEC status approved since Jun 2, 2015
RAUM
$1.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$1.2B individuals and HNW
Advisors
14
registered through the firm on IAPD
RAUM per advisor
$83.4M
derived; firm RAUM over IAPD count
Employees
14
14 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$1.2B as of Mar 25, 2026
Mar 22, 2016$546M then
HNW client RAUM$1.0B as of Mar 25, 2026
Mar 21, 2018$532M then
State-registered IARs (5.B.3)14 as of Mar 25, 2026
Mar 22, 201610 then
Employees (5.A)14 as of Mar 25, 2026
Mar 22, 201610 then
Private funds: no history
RAUM +17% over the last fiscal year+16% a year over threeIARs 14 to 14
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
- RAUM per advisor
- $83.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 52derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $630,076derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.5derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Custody
- $186M, 71 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.0B90%
- Individuals$115M9.8%
- Charitable organizations$6.0M0.5%
- Corporations and businesses$2,1560.0%
- Individual clients
- 425reported
- HNW clients
- 309reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 1,852reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $186M for 71 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=11.0derived
Advisors registered through the firm
14 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• H••••• L••••• | Minneapolis, Mn | Dec 9, 2013 | 28 y | 0 |
| N••••• L••• W••••• | Minneapolis, Mn | Dec 9, 2013 | 27 y | 0 |
| L••• K•• J•••••• | Minneapolis, Mn | Dec 9, 2013 | 22 y | 0 |
| D••••• J•••• D•••• | Minneapolis, Mn | Dec 9, 2013 | 32 y | 0 |
| D•••• W•••••• D••••Certified Financial Planner | Minneapolis, Mn | Dec 9, 2013 | 23 y | 0 |
| M••••••• S•• S••••••••• | Minneapolis, Mn | Dec 18, 2013 | 27 y | 0 |
| J••••••• M•••• L•••••••• | Minneapolis, Mn | Jul 22, 2014 | 20 y | 0 |
| A••••• W• M••••••••Certified Financial Planner | Minneapolis, Mn | Dec 5, 2018 | 10 y | 0 |
| J••••• J• M•••••Certified Financial Planner | Minneapolis, Mn | Jul 2, 2019 | 11 y | 1 |
| A•••••• L•••••• D••••Certified Financial Planner | Minneapolis, Mn | Aug 14, 2019 | 11 y | 0 |
| C••••• A••••• S•••• | Minneapolis, Mn | Jun 18, 2024 | 11 y | 0 |
| M•••••• S••••• J•••••• | Minneapolis, Mn | Jan 5, 2026 | 23 y | 0 |
| L••• M•••••• D•••• | Minneapolis, Mn | Jan 5, 2026 | 20 y | 0 |
| O••••• N••••• D••• | Minneapolis, Mn | Jun 22, 2026 | 10 y | 1 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 7.1% of current headcount1 left over 36 months
Left, latest
- Z•••••• K•••• B••••••• to W••••• E••••••••• A••••••• S•••••••• L••Apr 21, 2026 · RIA to affiliated broker-dealer or bank
Joined, latest
- O••••• N••••• D••• from A••••••••• F•••••••• S•••••••• L••Jun 22, 2026 · Affiliated broker-dealer or bank to independent RIA
- J••••• J• M••••• from A••••••••• F•••••••• S•••••••• L••Jul 2, 2019 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• D•••••• J•••• · Chief Executive Officercontrolsince 04/2005 · owns 75% or more
- D••••• D••••• W•••••• · Vice President/Secretary/Treasurercontrolsince 04/2005 · owns less than 5%
- W•••••• N•••••• L••• · Chief Compliance Officercontrolsince 04/2010 · owns less than 5%
- D••••• L•••• M•••••• · President & Chief Operating Officersince 03/2025 · owns less than 5%
Related persons
Schedule D 7.A
- F• T•• • A••••••••• L••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Minneapolis, Mn · principal | 14 | 3 | 1 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 1,754 to 1,852Dec 15, 2025 to Mar 25, 2026
- Corporate clients · unset to 1.0Dec 15, 2025 to Mar 25, 2026
- HNW clients · 205 to 309Dec 15, 2025 to Mar 25, 2026
- Individual clients · 483 to 425Dec 15, 2025 to Mar 25, 2026
- Assets in custody · $190M to $186MDec 15, 2025 to Mar 25, 2026
- Financial planning clients · 26-50 to 11-25Dec 15, 2025 to Mar 25, 2026
- Discretionary RAUM · $999M to $1.2BDec 15, 2025 to Mar 25, 2026
- HNW RAUM · $823M to $1.0BDec 15, 2025 to Mar 25, 2026
- Individual RAUM · $171M to $115MDec 15, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $1.3M to $1.3MDec 15, 2025 to Mar 25, 2026
- RAUM · $1.0B to $1.2BDec 15, 2025 to Mar 25, 2026
- Financial planning clients · 26-50 to 26-50Mar 20, 2025 to May 2, 2025
- Accounts · 1,672 to 1,754Nov 21, 2024 to Mar 20, 2025
- Advisory employees · 13 to 14Nov 21, 2024 to Mar 20, 2025
- Charity clients · unset to 2.0Nov 21, 2024 to Mar 20, 2025
- HNW clients · 206 to 205Nov 21, 2024 to Mar 20, 2025
- Individual clients · 453 to 483Nov 21, 2024 to Mar 20, 2025
- Assets in custody · $140M to $190MNov 21, 2024 to Mar 20, 2025
- Employees · 13 to 14Nov 21, 2024 to Mar 20, 2025
- Financial planning clients · 1-10 to 26-50Nov 21, 2024 to Mar 20, 2025
- State-registered IARs · 13 to 14Nov 21, 2024 to Mar 20, 2025
- Discretionary RAUM · $864M to $999MNov 21, 2024 to Mar 20, 2025
- HNW RAUM · $736M to $823MNov 21, 2024 to Mar 20, 2025
- Individual RAUM · $124M to $171MNov 21, 2024 to Mar 20, 2025
- Non-discretionary RAUM · $1.1M to $1.3MNov 21, 2024 to Mar 20, 2025
- RAUM · $865M to $1.0BNov 21, 2024 to Mar 20, 2025
- Other offices · 0 to 3Sep 25, 2024 to Nov 20, 2024
- Other offices · 2 to 0Jun 5, 2024 to Sep 25, 2024
- Accounts · 1,609 to 1,672Jul 24, 2023 to Mar 20, 2024
- Charity clients · 2.0 to unsetJul 24, 2023 to Mar 20, 2024
- HNW clients · 243 to 206Jul 24, 2023 to Mar 20, 2024
- Individual clients · 395 to 453Jul 24, 2023 to Mar 20, 2024
- Pension plan clients · 2.0 to unsetJul 24, 2023 to Mar 20, 2024
- Assets in custody · $118M to $140MJul 24, 2023 to Mar 20, 2024
- Financial planning clients · 251-500 to 1-10Jul 24, 2023 to Mar 20, 2024
- Other offices · 1 to 2Jul 24, 2023 to Mar 20, 2024
- Discretionary RAUM · $737M to $864MJul 24, 2023 to Mar 20, 2024
- HNW RAUM · $641M to $736MJul 24, 2023 to Mar 20, 2024
- Individual RAUM · $90.8M to $124MJul 24, 2023 to Mar 20, 2024
- Non-discretionary RAUM · $7.5M to $1.1MJul 24, 2023 to Mar 20, 2024
Signals
3 dated events
- Zachary Keith Buesgens left Financial Perspectives for Wealth Enhancement Advisory Services, Llc (registered 2026-05-12)Apr 21, 2026 · Advisor changed firm · fact
- Financial Perspectives reported RAUM $838.2M, up 43% from $585.0M (2020-07-27 to 2021-03-11)Mar 11, 2021 · RAUM change · derived
- Financial Perspectives filed its initial SEC registration (Form ADV)May 20, 2015 · 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 email
- info@fpwealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 877-553-7780reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 877-553-7782reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- FPWEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 763-553-7779reportedpublic record, Form ADV, Mar 25, 2026
- Team page
- fpwealth.com/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
- $83.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026