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

W••• O•••••••• I•••

Former SEC-registered adviserPlymouth, MinnesotaCRD 143430SEC 801-113463IAPD
Latest filing Mar 17, 2023
First filing on the tape Mar 6, 2012 · 16 filings
RAUM
$173M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
96%
$166M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$173M as of Mar 17, 2023
Mar 19, 2012$72.0M then
HNW client RAUM$83.1M as of Mar 17, 2023
Jan 28, 2019$46.2M then
State-registered IARs (5.B.3)3 as of Mar 17, 2023
Mar 19, 20120 then
Employees (5.A)3 as of Mar 17, 2023
Jan 28, 20199 then
Private funds: no history
RAUM -6.5% over the last fiscal year+4.6% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Mar 17, 2023; every figure names its basis
RAUM per advisor
$57.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
103derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.0MderivedHNW RAUM over HNW clients
Average account
$158,096derivedRAUM over accounts (5.F.2.f)
Discretionary
97%derivedof RAUM
Institutional
3.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-6.5%derivedbetween the last two annual amendments
Advisor growth, one year
+50%derivedItem 5.B.3 between annual amendments
Client growth, one year
-15%derived
Compensation
percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, publications, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$83.1M48%
  • Individuals$82.7M48%
  • Pension and profit-sharing plans$5.9M3.4%
  • Corporations and businesses$899,2370.5%
Individual clients
267reported
HNW clients
41reported
Pension plan clients
21reported
Charitable clients
0reported
Accounts
1,092reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, commissionsreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • L•••••• J••••• L•• · Vice-Presidentcontrol
      since 06/2003 · owns less than 5%
    • L•••••• M•••• D••••• · President/Secretary/Treasurer/Chief Compliance Officercontrol
      since 06/2003 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Plymouth, Mn · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 1,074 to 1,092
      Nov 7, 2022 to Mar 17, 2023
    • Advisory employees · 2 to 3
      Nov 7, 2022 to Mar 17, 2023
    • Corporate clients · 0.0 to unset
      Nov 7, 2022 to Mar 17, 2023
    • HNW clients · 18 to 41
      Nov 7, 2022 to Mar 17, 2023
    • Individual clients · 346 to 267
      Nov 7, 2022 to Mar 17, 2023
    • Pension plan clients · 18 to 21
      Nov 7, 2022 to Mar 17, 2023
    • Employees · 8 to 3
      Nov 7, 2022 to Mar 17, 2023
    • State-registered IARs · 2 to 3
      Nov 7, 2022 to Mar 17, 2023
    • Discretionary RAUM · $179M to $167M
      Nov 7, 2022 to Mar 17, 2023
    • HNW RAUM · $44.6M to $83.1M
      Nov 7, 2022 to Mar 17, 2023
    • Individual RAUM · $133M to $82.7M
      Nov 7, 2022 to Mar 17, 2023
    • Non-discretionary RAUM · $5.5M to $5.8M
      Nov 7, 2022 to Mar 17, 2023
    • Pension RAUM · $5.7M to $5.9M
      Nov 7, 2022 to Mar 17, 2023
    • RAUM · $185M to $173M
      Nov 7, 2022 to Mar 17, 2023
    • Accounts · 1,098 to 1,074
      Apr 29, 2021 to Mar 7, 2022
    • HNW clients · 52 to 18
      Apr 29, 2021 to Mar 7, 2022
    • Individual clients · 253 to 346
      Apr 29, 2021 to Mar 7, 2022
    • Pension plan clients · 17 to 18
      Apr 29, 2021 to Mar 7, 2022
    • State-registered IARs · 3 to 2
      Apr 29, 2021 to Mar 7, 2022
    • Discretionary RAUM · $158M to $179M
      Apr 29, 2021 to Mar 7, 2022
    • HNW RAUM · $82.9M to $44.6M
      Apr 29, 2021 to Mar 7, 2022
    • Individual RAUM · $80.0M to $133M
      Apr 29, 2021 to Mar 7, 2022
    • Non-discretionary RAUM · $9.7M to $5.5M
      Apr 29, 2021 to Mar 7, 2022
    • Pension RAUM · $3.9M to $5.7M
      Apr 29, 2021 to Mar 7, 2022
    • RAUM · $168M to $185M
      Apr 29, 2021 to Mar 7, 2022
    • Accounts · 1,044 to 1,098
      Jul 27, 2020 to Feb 24, 2021
    • Advisory employees · 3 to 2
      Jul 27, 2020 to Feb 24, 2021
    • HNW clients · 34 to 52
      Jul 27, 2020 to Feb 24, 2021
    • Individual clients · 266 to 253
      Jul 27, 2020 to Feb 24, 2021
    • Pension plan clients · 31 to 17
      Jul 27, 2020 to Feb 24, 2021
    • Employees · 9 to 8
      Jul 27, 2020 to Feb 24, 2021
    • State-registered IARs · 4 to 3
      Jul 27, 2020 to Feb 24, 2021
    • Discretionary RAUM · $145M to $158M
      Jul 27, 2020 to Feb 24, 2021
    • HNW RAUM · $75.1M to $82.9M
      Jul 27, 2020 to Feb 24, 2021
    • Individual RAUM · $70.1M to $80.0M
      Jul 27, 2020 to Feb 24, 2021
    • Non-discretionary RAUM · $5.6M to $9.7M
      Jul 27, 2020 to Feb 24, 2021
    • Pension RAUM · $5.4M to $3.9M
      Jul 27, 2020 to Feb 24, 2021
    • RAUM · $151M to $168M
      Jul 27, 2020 to Feb 24, 2021
    • Accounts · 968 to 1,044
      Feb 18, 2019 to Feb 4, 2020
    • HNW clients · 25 to 34
      Feb 18, 2019 to Feb 4, 2020
    Signals
    5 dated events
    • C••••• J•••••• O•• left W••• O•••••••• I••• for I••••• F•••••••• (registered 2023-10-09)
      Oct 6, 2023 · Advisor changed firm · fact
    • 2 advisors left W••• O•••••••• I••• (Plymouth, MN) for I••••• F•••••••• on the same day
      Oct 6, 2023 · Team lift-out · derived
    • J•••• C•••• left W••• O•••••••• I••• for I••••• F•••••••• (registered 2023-10-09)
      Oct 6, 2023 · Advisor changed firm · fact
    • L. D••••• G•••••••• (Chief Compliance Officer) no longer on Schedule A of W••• O•••••••• I••• (listed 2020-07-27, absent 2021-02-24)
      Feb 24, 2021 · Control person left · inference
    • W••• O•••••••• I••• filed its initial SEC registration (Form ADV)
      May 18, 2018 · 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.
    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