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
E•••••• F•••••••• G••••
Legal name E•••••• F•••••••• G•••• L••
Latest filing Mar 30, 2026
First filing on the tape Mar 29, 2012 · 34 filings
SEC status approved since Mar 30, 2007
RAUM
$1.0B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$1.0B individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$83.5M
derived; firm RAUM over IAPD count
Employees
12
12 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$1.0B as of Mar 30, 2026
Mar 29, 2012$117M then
HNW client RAUM$622M as of Mar 30, 2026
Mar 27, 2018$113M then
State-registered IARs (5.B.3)12 as of Mar 30, 2026
Mar 29, 20120 then
Employees (5.A)12 as of Mar 30, 2026
Mar 27, 201311 then
Private funds: no history
RAUM +9.9% over the last fiscal year+18% a year over threeIARs 12 to 12offices 5 to 4
Practice profile
derived from the filing of Mar 30, 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
- RAUM per advisor
- $83.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 162derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $222,524derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.4derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -26%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, educational seminarsreportedItem 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)
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$622M62%
- Individuals$381M38%
- Individual clients
- 1,590reported
- HNW clients
- 350reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4,505reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=12.0derived
Advisors registered through the firm
12 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K••• S••••• K••••• | Tucson, Az | Feb 8, 2008 | 34 y | 1 |
| J••• W•••••• M•••••• | Minneapolis, Mn | Aug 9, 2012 | 36 y | 0 |
| T•• H••• S•••••• D•••• | Minneapolis, Mn | Jan 14, 2013 | 26 y | 0 |
| T••• D••••• C•••Certified Financial Planner | Minneapolis, Mn | Jan 30, 2014 | 32 y | 1 |
| N•••••• P••• W•••••• | Minneapolis, Mn | Jan 31, 2014 | 31 y | 1 |
| D•••••• M•••• M•••Certified Financial Planner | Minneapolis, Mn | Jan 31, 2014 | 45 y | 1 |
| J•••• J••••• M•••••••Certified Financial Planner | Minneapolis, Mn | Jan 31, 2014 | 31 y | 0 |
| C••••• A•• V•• O•••• | Tucson, Az | Dec 3, 2014 | 35 y | 3 |
| J••••••• E•••••••• S••••••••Certified Financial Planner | Minneapolis, Mn | Jan 2, 2020 | 37 y | 2 |
| J••••• N••••• J••••••• | Minneapolis, Mn | Oct 18, 2021 | 11 y | 1 |
| P••• W• M•••••Certified Financial Planner | Minneapolis, Mn | Jun 2, 2022 | 11 y | 3 |
| C••••••••• R••• K••••••Certified Financial Planner | Minneapolis, Mn | Mar 20, 2026 | 11 y | 2 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 8.3% of current headcount4 left over 36 months
Left, latest
- K•••• E••••• S••••• to S••••• W••••• A•••••••• I•••May 5, 2026 · Other
- R•••••• A••• Q•••••• to A••••••• W••••• A•••••••May 13, 2025 · RIA to affiliated broker-dealer or bank
- P••••• T••••• B••• to A••••••••• W••••• P•••••••Jan 14, 2025 · RIA to RIA
- J•••• A••••• M••••••• to O•••• A••••••• S•••••••• L••Sep 8, 2024 · RIA to affiliated broker-dealer or bank
- J•••• W•••••• to L•• F•••••••• L••Jun 14, 2022 · RIA to RIA
- K•••••••• A••• F•••••• to B•• W••••• M•••••••••Aug 15, 2017 · Other
Joined, latest
- C••••••••• R••• K•••••• from G•••• W••••• F••••••••Mar 20, 2026 · RIA to RIA
- K•••• E••••• S••••• from O•••• W•••••• I•••May 29, 2025 · Affiliated broker-dealer or bank to independent RIA
- P••••• T••••• B••• from C•••••• S••••• • C••• I•••Nov 29, 2022 · Affiliated broker-dealer or bank to independent RIA
- P••• W• M••••• from M••••• S••••••Jun 2, 2022 · Wirehouse to independent RIA
- J••••• N••••• J••••••• from S••••••••• A•••••• A•••••••• I•••Oct 18, 2021 · Affiliated broker-dealer or bank to independent RIA
- J••••••• E•••••••• S•••••••• from U••••••••• W••••• M••••••••• L••Jan 2, 2020 · RIA to RIA
- J•••• W•••••• from A••••••••• F•••••••• S•••••••• L••Jan 6, 2017 · Other
- C••••• A•• V•• O•••• from V••• F•••••••• A•••••••• I•••Dec 3, 2014 · Other
- N•••••• P••• W•••••• from F•••• F••••••••Jan 31, 2014 · Other
- D•••••• M•••• M••• from F•••• F••••••••Jan 31, 2014 · Other
- T••• D••••• C••• from F•••• F••••••••Jan 30, 2014 · Other
- K••• S••••• K••••• from F•••• F••••••••Feb 8, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••• T•••• K••• · Vice President/Membercontrolsince 12/2005 · owns 10% to 25%
- D••••• T•• H•••• S•••••• · Membercontrolsince 12/2005 · owns 10% to 25%
- M••••••• J•••• W•••••• · Membercontrolsince 01/2020 · owns 10% to 25%
- M•••••••• J••••• J••••• · President / Chief Compliance Officercontrolsince 01/2021 · owns 10% to 25%
- W••••••• N••••••• P••• · Member/Chief Financial Officer/Treasurercontrolsince 01/2020 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Minneapolis, Mn · principal | 11 | 1 | 1 | ||
| Tucson, Az | 2 | 0 | 0 | ||
| Grand Junction, Co | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Wayzata, MN1 employees
- , 1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 30, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $912,366,781 to $1,002,472,036, advisors 12 to 12, private clients 2623 to 1940, offices 5 to 4 (2025-03-25 to 2026-03-30)peers: independent wealth managers, $1B to $5B (1,362)
- business activity c•••gedChange between filings · filing Mar 30, 2026pension consulting (Item 5.G.6): yes on the filing of 2025-11-16, no on the filing of 2026-03-30peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 4,667 to 4,505Nov 16, 2025 to Mar 30, 2026
- Advisory activities · 6 to 5Nov 16, 2025 to Mar 30, 2026
- HNW clients · 262 to 350Nov 16, 2025 to Mar 30, 2026
- Individual clients · 2,361 to 1,590Nov 16, 2025 to Mar 30, 2026
- Other offices · 5 to 4Nov 16, 2025 to Mar 30, 2026
- Discretionary RAUM · $901M to $989MNov 16, 2025 to Mar 30, 2026
- HNW RAUM · $563M to $622MNov 16, 2025 to Mar 30, 2026
- Individual RAUM · $349M to $381MNov 16, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $11.7M to $13.1MNov 16, 2025 to Mar 30, 2026
- RAUM · $912M to $1.0BNov 16, 2025 to Mar 30, 2026
- Wrap assets (manager) · 0.0 to unsetMar 25, 2025 to Nov 16, 2025
- Wrap assets (sponsor) · 0.0 to unsetMar 25, 2025 to Nov 16, 2025
- Accounts · 4,630 to 4,667Jun 25, 2024 to Mar 25, 2025
- Advisory employees · 14 to 12Jun 25, 2024 to Mar 25, 2025
- BD registered reps · 14 to 12Jun 25, 2024 to Mar 25, 2025
- HNW clients · 225 to 262Jun 25, 2024 to Mar 25, 2025
- Individual clients · 1,940 to 2,361Jun 25, 2024 to Mar 25, 2025
- Employees · 14 to 12Jun 25, 2024 to Mar 25, 2025
- Financial planning clients · 1-10 to 1-10Jun 25, 2024 to Mar 25, 2025
- State-registered IARs · 14 to 12Jun 25, 2024 to Mar 25, 2025
- Discretionary RAUM · $818M to $901MJun 25, 2024 to Mar 25, 2025
- HNW RAUM · $451M to $563MJun 25, 2024 to Mar 25, 2025
- Individual RAUM · $378M to $349MJun 25, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $10.7M to $11.7MJun 25, 2024 to Mar 25, 2025
- RAUM · $829M to $912MJun 25, 2024 to Mar 25, 2025
- Wrap assets (manager) · $25.8M to $0Jun 25, 2024 to Mar 25, 2025
- Accounts · 3,956 to 4,630Feb 8, 2024 to Mar 27, 2024
- HNW clients · 87 to 225Feb 8, 2024 to Mar 27, 2024
- Individual clients · 1,686 to 1,940Feb 8, 2024 to Mar 27, 2024
- Employees · 18 to 14Feb 8, 2024 to Mar 27, 2024
- Discretionary RAUM · $597M to $818MFeb 8, 2024 to Mar 27, 2024
- HNW RAUM · $305M to $451MFeb 8, 2024 to Mar 27, 2024
- Individual RAUM · $302M to $378MFeb 8, 2024 to Mar 27, 2024
- Non-discretionary RAUM · $9.8M to $10.7MFeb 8, 2024 to Mar 27, 2024
- RAUM · $607M to $829MFeb 8, 2024 to Mar 27, 2024
- Other offices · 4 to 5Mar 22, 2023 to Dec 14, 2023
- Accounts · 3,668 to 3,956Aug 22, 2022 to Mar 6, 2023
- Advisory employees · 13 to 14Aug 22, 2022 to Mar 6, 2023
- BD registered reps · 13 to 14Aug 22, 2022 to Mar 6, 2023
- HNW clients · 199 to 87Aug 22, 2022 to Mar 6, 2023
Signals
12 dated events
- K•••• E••••• S••••• left E•••••• F•••••••• G•••• for S••••• W••••• A•••••••• I••• (registered 2026-06-06)May 5, 2026 · advisor firm c•••ge · fact
- R•••••• A••• Q•••••• left E•••••• F•••••••• G•••• for A••••••• W••••• A••••••• (registered 2025-05-07)May 13, 2025 · advisor firm c•••ge · fact
- P••••• T••••• B••• left E•••••• F•••••••• G•••• for A••••••••• W••••• P••••••• (registered 2025-03-04)Jan 14, 2025 · advisor firm c•••ge · fact
- J•••• A••••• M••••••• left E•••••• F•••••••• G•••• for O•••• A••••••• S•••••••• L•• (registered 2024-09-04)Sep 8, 2024 · advisor firm c•••ge · fact
- E•••••• F•••••••• G•••• reported RAUM $828.9M, up 37% from $607.1M (2024-02-08 to 2024-03-27)Mar 27, 2024 · ria raum c•••ge · derived
- J•••• W•••••• left E•••••• F•••••••• G•••• for L•• F•••••••• L•• (registered 2022-07-07)Jun 14, 2022 · advisor firm c•••ge · fact
- E•••••• F•••••••• G•••• reported RAUM $685.0M, up 27% from $540.2M (2021-11-02 to 2022-03-17)Mar 17, 2022 · ria raum c•••ge · derived
- Eugene William Hunstock (Member) no longer on Schedule A of E•••••• F•••••••• G•••• (listed 2021-11-02, absent 2022-03-17)Mar 17, 2022 · Control person left · inference
- Andrew James Michaels (Managing Member/Chief Executive Officer) no longer on Schedule A of E•••••• F•••••••• G•••• (listed 2020-07-02, absent 2021-03-19)Mar 19, 2021 · Control person left · inference
- J••••• James Matejcek (Chief Compliance Officer) appeared on Schedule A of E•••••• F•••••••• G••••Mar 19, 2021 · Control person joined · fact
- E•••••• F•••••••• G•••• reported RAUM $576.6M, up 85% from $312.2M (2019-03-13 to 2020-03-30)Mar 30, 2020 · ria raum c•••ge · derived
- Samuel King Kearns (Member) no longer on Schedule A of E•••••• F•••••••• G•••• (listed 2018-03-27, absent 2019-03-13)Mar 13, 2019 · Control person left · inference
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 phone
- 612-720-4040reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 952-217-4270reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 952-767-3494reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- sincerefinancial.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 763-923-7525reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- sincerefinancial.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
- $83.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026