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
L••••••• F••••••••• L••
Latest filing Feb 24, 2026
First filing on the tape Feb 8, 2012 · 7 filings
SEC status approved since Nov 12, 2024
RAUM
$141M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
100%
$141M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$70.5M
derived; firm RAUM over IAPD count
Employees
7
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$141M as of Feb 24, 2026
Feb 8, 2012$66.6M then
HNW client RAUM$89.3M as of Feb 24, 2026
Mar 27, 2025$76.0M then
State-registered IARs (5.B.3)2 as of Feb 24, 2026
Feb 8, 20120 then
Employees (5.A)7 as of Feb 24, 2026
Mar 27, 20257 then
Private funds: no history
RAUM +15% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Feb 24, 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
- $70.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 128derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $270,705derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 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
- +1.6%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Custody
- $85.2M, 257 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$89.3M63%
- Individuals$51.7M37%
- Individual clients
- 192reported
- HNW clients
- 63reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 521reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $85.2M for 257 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L•••• A•••• K•••••Chartered Financial Consultant | Mankato, Mn | Dec 17, 2013 | 44 y | 0 |
| W•••••• S••• D•••• J••••••Certified Financial Planner | Mankato, Mn | Jan 2, 2014 | 15 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 headcount1 left over 36 months
Left, latest
- C••••••••• T••••• K•••• to T•• F•••••••• A•••••••Jan 6, 2025 · RIA to RIA
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J••••••• W••••••• S••• D•••• · Member, President & Treasurercontrolsince 01/2020 · owns 75% or more
- K•••••• L••••• A•••• · Vice President, Secretary & Chief Compliance Officercontrolsince 01/2020 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Mankato, Mn · principal | 2 | 0 | 0 | ||
| Rochester, Mn | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- compensation changedChange between filings · filing Feb 24, 2026hourly charges (Item 5.E.2): no on the filing of 2025-10-09, yes on the filing of 2026-02-24peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 517 to 521Oct 9, 2025 to Feb 24, 2026
- HNW clients · 53 to 63Oct 9, 2025 to Feb 24, 2026
- Individual clients · 198 to 192Oct 9, 2025 to Feb 24, 2026
- Assets in custody · $76.8M to $85.2MOct 9, 2025 to Feb 24, 2026
- Discretionary RAUM · $119M to $137MOct 9, 2025 to Feb 24, 2026
- HNW RAUM · $76.0M to $89.3MOct 9, 2025 to Feb 24, 2026
- Individual RAUM · $46.3M to $51.7MOct 9, 2025 to Feb 24, 2026
- Non-discretionary RAUM · $3.6M to $4.5MOct 9, 2025 to Feb 24, 2026
- RAUM · $122M to $141MOct 9, 2025 to Feb 24, 2026
- Financial planning clients · 0 to 0Mar 27, 2025 to Oct 9, 2025
- Accounts · 533 to 517Oct 22, 2024 to Mar 27, 2025
- Advisory employees · 3 to 2Oct 22, 2024 to Mar 27, 2025
- HNW clients · 51 to 53Oct 22, 2024 to Mar 27, 2025
- Individual clients · 194 to 198Oct 22, 2024 to Mar 27, 2025
- Assets in custody · $29.5M to $76.8MOct 22, 2024 to Mar 27, 2025
- State-registered IARs · 3 to 2Oct 22, 2024 to Mar 27, 2025
- Discretionary RAUM · $122M to $119MOct 22, 2024 to Mar 27, 2025
- HNW RAUM · $76.5M to $76.0MOct 22, 2024 to Mar 27, 2025
- Individual RAUM · $48.7M to $46.3MOct 22, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $3.2M to $3.6MOct 22, 2024 to Mar 27, 2025
- RAUM · $125M to $122MOct 22, 2024 to Mar 27, 2025
- Accounts · 526 to 533Apr 24, 2012 to Oct 10, 2024
- Advisory employees · unset to 3.0Apr 24, 2012 to Oct 10, 2024
- Advisory activities · 2 to 3Apr 24, 2012 to Oct 10, 2024
- Business name · W••••• M••••••••• R••••••••• L•• to L••••••• F••••••••• L••Apr 24, 2012 to Oct 10, 2024
- Charity clients · unset to 0.0Apr 24, 2012 to Oct 10, 2024
- Corporate clients · unset to 0.0Apr 24, 2012 to Oct 10, 2024
- HNW clients · unset to 51.0Apr 24, 2012 to Oct 10, 2024
- Individual clients · unset to 194.0Apr 24, 2012 to Oct 10, 2024
- Pension plan clients · unset to 0.0Apr 24, 2012 to Oct 10, 2024
- Pooled vehicle clients · unset to 0.0Apr 24, 2012 to Oct 10, 2024
- Assets in custody · unset to 29524649.0Apr 24, 2012 to Oct 10, 2024
- Custody of client assets · false to trueApr 24, 2012 to Oct 10, 2024
- Employees · unset to 7.0Apr 24, 2012 to Oct 10, 2024
- State-registered IARs · 0 to 3Apr 24, 2012 to Oct 10, 2024
- Legal name · W••••• M••••••••• R••••••••• L•• to L••••••• F••••••••• L••Apr 24, 2012 to Oct 10, 2024
- Other offices · unset to 1.0Apr 24, 2012 to Oct 10, 2024
- Discretionary RAUM · $66.6M to $122MApr 24, 2012 to Oct 10, 2024
- HNW RAUM · unset to 76457261.0Apr 24, 2012 to Oct 10, 2024
- Individual RAUM · unset to 48726784.0Apr 24, 2012 to Oct 10, 2024
Signals
4 dated events
- C••••••••• T••••• K•••• left L••••••• F••••••••• L•• for T•• F•••••••• A••••••• (registered 2025-04-03)Jan 6, 2025 · Advisor changed firm · fact
- Sean David William Jamison (Member, President & Treasurer) appeared on Schedule A of L••••••• F••••••••• L••Oct 10, 2024 · Control person joined · fact
- John Stephen Buege (Member) no longer on Schedule A of L••••••• F••••••••• L•• (listed 2012-04-24, absent 2024-10-10)Oct 10, 2024 · Control person left · inference
- L••••••• F••••••••• L•• filed its initial SEC registration (Form ADV)Oct 10, 2024 · 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@lifeplan-financial.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 507-385-7871reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 507-625-3507reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 507-625-3507reportedpublic record, Form ADV, Feb 24, 2026
- Contact form
- lifeplan-financial.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- lifeplan-financial.com/our-teamreportedpublished 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
- $70.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026