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•••••••• S•••••••• L•••
Latest filing Mar 14, 2023
First filing on the tape Dec 9, 2011 · 23 filings
RAUM
$218M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$218M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$218M as of Mar 14, 2023
Dec 9, 2011$80.0M then
HNW client RAUM$158M as of Mar 14, 2023
Mar 27, 2018$127M then
State-registered IARs (5.B.3)3 as of Mar 14, 2023
Dec 9, 20110 then
Employees (5.A)9 as of Mar 14, 2023
Dec 12, 20126 then
Private funds: no history
RAUM -13% over the last fiscal year+4.1% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 14, 2023; every figure names its basis
- RAUM per advisor
- $72.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 100derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $211,345derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, educational seminarsreportedItem 5.G
- Custody
- $8.4M, 9 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$158M72%
- Individuals$60.4M28%
- Individual clients
- 199reported
- HNW clients
- 102reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,033reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $8.4M for 9 clientsreported
- 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
- J••••••• W•••• L•••• to C••••••• P•••••••Nov 10, 2023 · RIA to RIA
- O••• C•••••• B•••• to C••••••• P•••••••Nov 10, 2023 · RIA to RIA
- P•••••• A••••• F•••• to A•• A•••••••Jul 21, 2020 · RIA to a state-registered adviser
- A••••• J• B••• to A••••••••• F•••••••• S•••••••• L••Apr 28, 2020 · RIA to affiliated broker-dealer or bank
Joined, latest
- A••••• J• B••• from M•• I•••••••• S•••••••• L••Nov 15, 2019 · Affiliated broker-dealer or bank to independent RIA
- P•••••• A••••• F•••• from R•• C•••••• M••••••• L••Mar 23, 2018 · Other
- J••••••• W•••• L•••• from G••••• W••••• M••••••••• I•••Mar 16, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for C••••••• P•••••••Nov 10, 2023 · Saint Louis Park, Mn
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• O•••• C•••••• · Vice Presidentcontrolsince 10/2006 · owns 10% to 25%
- L••••• J•••••••• W•••• · Chief Compliance Officer, Presidentcontrolsince 10/2006 · owns 75% or more
Related persons
Schedule D 7.A
- C•••••••• T••••• A•• B••••• L•••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Saint Louis Park, Mn · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,048 to 1,033Mar 22, 2022 to Mar 14, 2023
- HNW clients · 117 to 102Mar 22, 2022 to Mar 14, 2023
- Individual clients · 160 to 199Mar 22, 2022 to Mar 14, 2023
- Assets in custody · $7.5M to $8.4MMar 22, 2022 to Mar 14, 2023
- Discretionary RAUM · $251M to $218MMar 22, 2022 to Mar 14, 2023
- HNW RAUM · $197M to $158MMar 22, 2022 to Mar 14, 2023
- Individual RAUM · $54.3M to $60.4MMar 22, 2022 to Mar 14, 2023
- RAUM · $251M to $218MMar 22, 2022 to Mar 14, 2023
- Accounts · 973 to 1,048Mar 8, 2021 to Mar 22, 2022
- Advisory employees · 2 to 3Mar 8, 2021 to Mar 22, 2022
- HNW clients · 92 to 117Mar 8, 2021 to Mar 22, 2022
- Individual clients · 188 to 160Mar 8, 2021 to Mar 22, 2022
- Assets in custody · $3.1M to $7.5MMar 8, 2021 to Mar 22, 2022
- Employees · 10 to 9Mar 8, 2021 to Mar 22, 2022
- State-registered IARs · 2 to 3Mar 8, 2021 to Mar 22, 2022
- Discretionary RAUM · $0 to $251MMar 8, 2021 to Mar 22, 2022
- HNW RAUM · $153M to $197MMar 8, 2021 to Mar 22, 2022
- Individual RAUM · $55.1M to $54.3MMar 8, 2021 to Mar 22, 2022
- Non-discretionary RAUM · $208M to $0Mar 8, 2021 to Mar 22, 2022
- RAUM · $208M to $251MMar 8, 2021 to Mar 22, 2022
- Accounts · 931 to 973Jun 17, 2020 to Mar 8, 2021
- Advisory employees · 4 to 2Jun 17, 2020 to Mar 8, 2021
- HNW clients · 84 to 92Jun 17, 2020 to Mar 8, 2021
- Individual clients · 179 to 188Jun 17, 2020 to Mar 8, 2021
- Assets in custody · $8.1M to $3.1MJun 17, 2020 to Mar 8, 2021
- Financial planning clients · 101-250 to 251-500Jun 17, 2020 to Mar 8, 2021
- State-registered IARs · 4 to 2Jun 17, 2020 to Mar 8, 2021
- HNW RAUM · $138M to $153MJun 17, 2020 to Mar 8, 2021
- Individual RAUM · $55.8M to $55.1MJun 17, 2020 to Mar 8, 2021
- Non-discretionary RAUM · $194M to $208MJun 17, 2020 to Mar 8, 2021
- RAUM · $194M to $208MJun 17, 2020 to Mar 8, 2021
- Non-discretionary RAUM · $177M to $194MMar 15, 2019 to Jan 29, 2020
- Pension RAUM · 2445110.0 to unsetMar 15, 2019 to Jan 29, 2020
- RAUM · $177M to $194MMar 15, 2019 to Jan 29, 2020
- Accounts · 877 to 931Mar 15, 2019 to Jan 29, 2020
- Advisory employees · 3 to 4Mar 15, 2019 to Jan 29, 2020
- HNW clients · 92 to 84Mar 15, 2019 to Jan 29, 2020
- Assets in custody · $6.7M to $8.1MMar 15, 2019 to Jan 29, 2020
- State-registered IARs · 3 to 4Mar 15, 2019 to Jan 29, 2020
- HNW RAUM · $69.0M to $138MMar 15, 2019 to Jan 29, 2020
Signals
3 dated events
- J••••••• W•••• L•••• left C•• F•••••••• S•••••••• L••• for C••••••• P••••••• (registered 2023-08-01)Nov 10, 2023 · advisor f••• change · fact
- O••• C•••••• B•••• left C•• F•••••••• S•••••••• L••• for C••••••• P••••••• (registered 2023-08-10)Nov 10, 2023 · advisor f••• change · fact
- 2 advisors left C•• F•••••••• S•••••••• L••• (Saint Louis Park, MN) for C••••••• P••••••• on the same dayNov 10, 2023 · Team lift-out · derived
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