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••••••••• L••
Latest filing Aug 19, 2026
First filing on the tape Dec 22, 2011 · 29 filings
SEC status approved since Jan 28, 2016
RAUM
$404M
reported, Item 5.F
Discretionary
86%
of RAUM
Private clients
70%
$284M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$57.8M
derived; firm RAUM over IAPD count
Employees
11
7 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$404M as of Aug 19, 2026
Mar 28, 2016$102M then
HNW client RAUM$201M as of Aug 19, 2026
Mar 20, 2018$35.7M then
State-registered IARs (5.B.3)7 as of Aug 19, 2026
Mar 28, 20167 then
Employees (5.A)11 as of Aug 19, 2026
Mar 28, 20167 then
Private funds: no history
RAUM +21% over the last fiscal year+19% a year over threeIARs 6 to 7
Practice profile
derived from the filing of Aug 19, 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
- $57.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 56derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $358,568derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 86%derivedof RAUM
- Institutional
- 30%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 1.8derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$201M50%
- Pension and profit-sharing plans$117M29%
- Individuals$82.7M20%
- Charitable organizations$3.4M0.8%
- Corporations and businesses$212,1180.1%
- Individual clients
- 309reported
- HNW clients
- 83reported
- Pension plan clients
- 20reported
- Charitable clients
- 2reported
- Accounts
- 1,128reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.7 fund_share=0.0 institutional_share=0.3 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• C••••••• L••• | Centennial, Co | Jun 14, 2012 | 23 y | 1 |
| J•••• S•••• L•••••Certified Financial Planner | Red Wing, Mn | Apr 11, 2014 | 20 y | 0 |
| J••• R•••••• L••••• | Red Wing, Mn | Apr 23, 2014 | 16 y | 0 |
| B•••• L••••• U••••• | Red Wing, Mn | Aug 19, 2015 | 24 y | 0 |
| M•••••• W•••• S••••••• | Red Wing, Mn | Jul 15, 2021 | 10 y | 0 |
| J••• P•••••• M•••• | Red Wing, Mn | Jan 1, 2025 | 23 y | 1 |
| C••••• L••• B•••• | Red Wing, Mn | May 29, 2026 | 10 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••••• J••••• S•••• · Member/Chief Compliance Officercontrolsince 10/2007 · owns 10% to 25%
- L•••••• J•••• R•••••• · Membercontrolsince 07/2013 · owns 25% to 50%
- S•••••••• M••••••• W•••• · Managing Membercontrolsince 01/2022 · owns 25% to 50%
- U•••••• B••••• L••••• · Membercontrolsince 06/2015 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Red Wing, Mn · principal | 7 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Hastings, MN3 employees
- , 1 employees
What changed
consecutive filings, newest first
- Advisory employees · 6 to 7Feb 5, 2026 to May 29, 2026
- Employees · 10 to 11Feb 5, 2026 to May 29, 2026
- State-registered IARs · 6 to 7Feb 5, 2026 to May 29, 2026
- Discretionary RAUM · $395M to $348MJan 28, 2026 to Feb 5, 2026
- HNW RAUM · $201M to $201MJan 28, 2026 to Feb 5, 2026
- Non-discretionary RAUM · $9.0M to $56.1MJan 28, 2026 to Feb 5, 2026
- RAUM · $404M to $404MJan 28, 2026 to Feb 5, 2026
- Accounts · 1,093 to 1,128Mar 10, 2025 to Jan 28, 2026
- Corporate clients · 3 to 2Mar 10, 2025 to Jan 28, 2026
- HNW clients · 65 to 83Mar 10, 2025 to Jan 28, 2026
- Individual clients · 319 to 309Mar 10, 2025 to Jan 28, 2026
- Assets in custody · $840,000 to $900,000Mar 10, 2025 to Jan 28, 2026
- Employees · 6 to 10Mar 10, 2025 to Jan 28, 2026
- Discretionary RAUM · $326M to $395MMar 10, 2025 to Jan 28, 2026
- HNW RAUM · $152M to $201MMar 10, 2025 to Jan 28, 2026
- Individual RAUM · $81.7M to $82.7MMar 10, 2025 to Jan 28, 2026
- Non-discretionary RAUM · $7.4M to $9.0MMar 10, 2025 to Jan 28, 2026
- Pension RAUM · $96.9M to $117MMar 10, 2025 to Jan 28, 2026
- RAUM · $333M to $404MMar 10, 2025 to Jan 28, 2026
- Accounts · 1,070 to 1,093Jul 11, 2024 to Mar 10, 2025
- Corporate clients · 0 to 3Jul 11, 2024 to Mar 10, 2025
- HNW clients · 56 to 65Jul 11, 2024 to Mar 10, 2025
- Individual clients · 348 to 319Jul 11, 2024 to Mar 10, 2025
- Pension plan clients · 22 to 20Jul 11, 2024 to Mar 10, 2025
- Financial planning clients · 101-250 to 251-500Jul 11, 2024 to Mar 10, 2025
- Discretionary RAUM · $311M to $326MJul 11, 2024 to Mar 10, 2025
- HNW RAUM · $135M to $152MJul 11, 2024 to Mar 10, 2025
- Individual RAUM · $83.8M to $81.7MJul 11, 2024 to Mar 10, 2025
- Non-discretionary RAUM · $8.4M to $7.4MJul 11, 2024 to Mar 10, 2025
- Pension RAUM · $99.0M to $96.9MJul 11, 2024 to Mar 10, 2025
- RAUM · $320M to $333MJul 11, 2024 to Mar 10, 2025
- Accounts · 1,025 to 1,070Aug 4, 2023 to Mar 19, 2024
- HNW clients · 52 to 56Aug 4, 2023 to Mar 19, 2024
- Individual clients · 322 to 348Aug 4, 2023 to Mar 19, 2024
- Pension plan clients · 23 to 22Aug 4, 2023 to Mar 19, 2024
- Discretionary RAUM · $252M to $311MAug 4, 2023 to Mar 19, 2024
- HNW RAUM · $88.4M to $135MAug 4, 2023 to Mar 19, 2024
- Individual RAUM · $77.8M to $83.8MAug 4, 2023 to Mar 19, 2024
- Non-discretionary RAUM · $6.5M to $8.4MAug 4, 2023 to Mar 19, 2024
- Pension RAUM · $89.9M to $99.0MAug 4, 2023 to Mar 19, 2024
Signals
3 dated events
- W•••• M•••••• S••••••• (Managing Member) appeared on Schedule A of E•••• F••••••••• L••Feb 28, 2022 · Control person joined · fact
- Ann Julia Loquai (Managing Member) no longer on Schedule A of E•••• F••••••••• L•• (listed 2021-07-15, absent 2022-02-28)Feb 28, 2022 · Control person left · inference
- E•••• F••••••••• L•• filed its initial SEC registration (Form ADV)Jan 21, 2016 · 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
- i•••@e•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 651-319-9430reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 651-388-6441reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 888-688-6441reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/E••••-FINANCIAL-LLCreportedpublic record, Form ADV, Sep 19, 2026
- Website
- E••••FINLLC.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (651) 388-6441reportedpublic record, Form ADV, Aug 19, 2026
- Contact form
- e•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $57.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026