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
A•• P•••••••
Legal name A••••••••• I••••••• S•••••••• L••
Latest filing Mar 23, 2026
First filing on the tape May 13, 2025 · 2 filings
SEC status approved since Jun 13, 2025
RAUM
$591M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
84%
$494M individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$59.1M
derived; firm RAUM over IAPD count
Employees
13
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$591M as of Mar 23, 2026
May 13, 2025$485M then
HNW client RAUM$401M as of Mar 23, 2026
May 13, 2025$304M then
State-registered IARs (5.B.3)9 as of Mar 23, 2026
May 13, 20259 then
Employees (5.A)13 as of Mar 23, 2026
May 13, 202512 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 23, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- p••••••• led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $59.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 50derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $414,146derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 8.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 5.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- 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, selection of other advisersreportedItem 5.G
- Financial planning clients
- 672reportedItem 5.H
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$401M73%
- Individuals$93.0M17%
- Pension and profit-sharing plans$28.8M5.3%
- Charitable organizations$22.0M4.0%
- Corporations and businesses$4.3M0.8%
- Individual clients
- 320reported
- HNW clients
- 176reported
- Pension plan clients
- 24reported
- Charitable clients
- 9reported
- Accounts
- 1,427reported
- Financial planning clients
- 672reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.84 fund_share=0.0 institutional_share=0.09 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• C•••••• H•••••••••Certified Financial Planner | St. Cloud, Mn | Jan 13, 2009 | 33 y | 1 |
| C•••• L•••• J•••••Certified Financial Planner | St. Cloud, Mn | Dec 23, 2013 | 28 y | 0 |
| C•••••• T•• S•••••• | Fort Myers, Fl | Oct 1, 2015 | 45 y | 1 |
| C••••••••• P•••• D•••Certified Financial Planner | St. Cloud, Mn | Dec 6, 2019 | 13 y | 0 |
| N••••• G•••••Certified Financial Planner | St. Cloud, Mn | Feb 9, 2020 | 12 y | 2 |
| T••••• J••• B••••• | St. Cloud, Mn | Mar 1, 2022 | 21 y | 0 |
| T••• M••••• | St. Cloud, Mn | Jul 21, 2022 | 21 y | 0 |
| S•••• A•• N•••• | St. Cloud, Mn | Oct 16, 2023 | 11 y | 2 |
| S••••• R•• M•••• | St. Cloud, Mn | Jun 25, 2024 | 18 y | 0 |
| S••••• A•• O••••• | St. Cloud, Mn | Feb 2, 2026 | 11 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
- S•••• A•• N•••• to G•••• V••••• A•••••• G••••• L••Apr 26, 2023 · RIA to RIA
- J••••• D•••• K•••••• to S••••••••• A•••••• A•••••••• I•••Apr 1, 2022 · RIA to affiliated broker-dealer or bank
Joined, latest
- S•••• A•• N•••• from G•••• V••••• A•••••• G••••• L••Oct 16, 2023 · RIA to RIA
- N••••• G••••• from C••••• I••••••••• A••••••• L••Feb 9, 2020 · Affiliated broker-dealer or bank to independent RIA
- C•••••• T•• S•••••• from K••••••• W••••• A•••••••• I•••••••••Oct 1, 2015 · RIA to RIA
- J•••• C•••••• H••••••••• from A•• P•••••••Jan 13, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••••• J••••• C•••••• · Member/Cio/Senior A••••••controlsince 06/2013 · owns 25% to 50%
- G•••••• N••••• · Member/Cco/A••••••since 03/2026 · owns 10% to 25%
- N••••• S••••• A•• · Member/Retirement Plan A••••••since 01/2025 · 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 |
|---|---|---|---|---|---|
| St Cloud, Mn | 10 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,425 to 1,427May 13, 2025 to Mar 23, 2026
- Charity clients · 10 to 9May 13, 2025 to Mar 23, 2026
- Corporate clients · 7 to 5May 13, 2025 to Mar 23, 2026
- HNW clients · 105 to 176May 13, 2025 to Mar 23, 2026
- Individual clients · 368 to 320May 13, 2025 to Mar 23, 2026
- Pension plan clients · 25 to 24May 13, 2025 to Mar 23, 2026
- Employees · 12 to 13May 13, 2025 to Mar 23, 2026
- Discretionary RAUM · $462M to $586MMay 13, 2025 to Mar 23, 2026
- HNW RAUM · $304M to $401MMay 13, 2025 to Mar 23, 2026
- Individual RAUM · $107M to $93.0MMay 13, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $22.7M to $5.0MMay 13, 2025 to Mar 23, 2026
- Pension RAUM · $27.5M to $28.8MMay 13, 2025 to Mar 23, 2026
- RAUM · $485M to $591MMay 13, 2025 to Mar 23, 2026
Signals
2 dated events
- S•••• A•• N•••• left A•• P••••••• for G•••• V••••• A•••••• G••••• L•• (registered 2023-05-05)Apr 26, 2023 · a•••••• firm change · fact
- J••••• D•••• K•••••• left A•• P••••••• for S••••••••• A•••••• A•••••••• I••• (registered 2022-05-16)Apr 1, 2022 · a•••••• firm change · 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
- meet@aisplanning.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 877-252-6552reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 320-252-6534reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 320-252-6552reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/ais-planningreportedpublic record, Form ADV, Sep 18, 2026
- Website
- AISP•••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (320) 252-6552reportedpublic record, Form ADV, Mar 23, 2026
- Team page
- AISPLANNING.COM/teamreportedpublished by the firm, firm site, Sep 15, 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
- $59.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026