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

S•••••• W••••• M••••••••• L••

Former SEC-registered adviserPlymouth, MinnesotaCRD 138919SEC 801-65912IAPD
Latest filing Mar 31, 2015
First filing on the tape Apr 2, 2012 · 18 filings
RAUM
$118M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$118M as of Mar 24, 2015
Apr 2, 2012$138M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 24, 2015
Apr 1, 201311 then
Employees (5.A)6 as of Mar 24, 2015
Apr 1, 201315 then
Private funds: no history
RAUM -1.2% over the last fiscal year-5.1% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Mar 31, 2015; every figure names its basis
RAUM per advisor
$39.2MderivedRAUM 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
$155,501derivedRAUM over accounts (5.F.2.f)
Discretionary
92%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-1.2%derivedbetween the last two annual amendments
Advisor growth, one year
-25%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, 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
  • is an insurance broker or agent (6.A.6)
  • 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)
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
757reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • G•••••••• J••••• D•••• · Managing Director/Chief Compliance Officercontrol
    since 12/2005 · owns 75% or more
  • M••••••• K••••••• M•••• · Board Member/Chief Operating Officer
    since 01/2011 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 834 to 757
    Oct 9, 2014 to Mar 24, 2015
  • Advisory employees · 4 to 3
    Oct 9, 2014 to Mar 24, 2015
  • BD registered reps · 3 to 2
    Oct 9, 2014 to Mar 24, 2015
  • Employees · 7 to 6
    Oct 9, 2014 to Mar 24, 2015
  • Financial planning clients · 11-25 to 1-10
    Oct 9, 2014 to Mar 24, 2015
  • State-registered IARs · 4 to 3
    Oct 9, 2014 to Mar 24, 2015
  • Discretionary RAUM · $108M to $109M
    Oct 9, 2014 to Mar 24, 2015
  • Non-discretionary RAUM · $10.7M to $9.0M
    Oct 9, 2014 to Mar 24, 2015
  • RAUM · $119M to $118M
    Oct 9, 2014 to Mar 24, 2015
  • Related insurance company · false to true
    Oct 9, 2014 to Mar 24, 2015
  • Advisory employees · 5 to 4
    Jan 7, 2014 to Mar 31, 2014
  • Employees · 9 to 7
    Jan 7, 2014 to Mar 31, 2014
  • Accounts · 1,451 to 834
    Nov 20, 2013 to Jan 7, 2014
  • Advisory employees · 10 to 5
    Nov 20, 2013 to Jan 7, 2014
  • Advisory activities · 4 to 5
    Nov 20, 2013 to Jan 7, 2014
  • BD registered reps · 9 to 3
    Nov 20, 2013 to Jan 7, 2014
  • Employees · 15 to 9
    Nov 20, 2013 to Jan 7, 2014
  • State-registered IARs · 10 to 4
    Nov 20, 2013 to Jan 7, 2014
  • Discretionary RAUM · $158M to $108M
    Nov 20, 2013 to Jan 7, 2014
  • Non-discretionary RAUM · $17.3M to $10.7M
    Nov 20, 2013 to Jan 7, 2014
  • RAUM · $175M to $119M
    Nov 20, 2013 to Jan 7, 2014
  • Advisory employees · 11 to 10
    Sep 26, 2013 to Oct 8, 2013
  • BD registered reps · 10 to 9
    Sep 26, 2013 to Oct 8, 2013
  • Employees · 17 to 15
    Sep 26, 2013 to Oct 8, 2013
  • State-registered IARs · 11 to 10
    Sep 26, 2013 to Oct 8, 2013
  • Advisory employees · 10 to 11
    Sep 18, 2013 to Sep 26, 2013
  • BD registered reps · 9 to 10
    Sep 18, 2013 to Sep 26, 2013
  • Employees · 16 to 17
    Sep 18, 2013 to Sep 26, 2013
  • State-registered IARs · 10 to 11
    Sep 18, 2013 to Sep 26, 2013
  • Advisory employees · 11 to 10
    Apr 1, 2013 to Aug 21, 2013
  • BD registered reps · 10 to 9
    Apr 1, 2013 to Aug 21, 2013
  • Employees · 15 to 16
    Apr 1, 2013 to Aug 21, 2013
  • State-registered IARs · 11 to 10
    Apr 1, 2013 to Aug 21, 2013
  • Accounts · 1,391 to 1,451
    Aug 2, 2012 to Apr 1, 2013
  • Advisory employees · unset to 11.0
    Aug 2, 2012 to Apr 1, 2013
  • BD registered reps · unset to 10.0
    Aug 2, 2012 to Apr 1, 2013
  • Employees · unset to 15.0
    Aug 2, 2012 to Apr 1, 2013
  • State-registered IARs · unset to 11.0
    Aug 2, 2012 to Apr 1, 2013
  • Discretionary RAUM · $126M to $158M
    Aug 2, 2012 to Apr 1, 2013
  • Non-discretionary RAUM · $11.3M to $17.3M
    Aug 2, 2012 to Apr 1, 2013
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.
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
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026