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
C••••• W••••• S•••••••••
Legal name C••••• W••••• S••••••••• L••
Latest filing Aug 4, 2026
First filing on the tape Oct 2, 2018 · 21 filings
SEC status approved since Nov 2, 2018
RAUM
$297M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$297M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$59.4M
derived; firm RAUM over IAPD count
Employees
10
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$297M as of Aug 4, 2026
Feb 16, 2019$119M then
HNW client RAUM$270M as of Aug 4, 2026
Feb 16, 2019$98.0M then
State-registered IARs (5.B.3)6 as of Aug 4, 2026
Feb 16, 20192 then
Employees (5.A)10 as of Aug 4, 2026
Feb 16, 20193 then
Private funds: no history
RAUM +3.7% over the last fiscal year+10% a year over threeIARs 5 to 6
Practice profile
derived from the filing of Aug 4, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RAUM per advisor
- $59.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 31derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $1.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%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
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.5%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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
- 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$270M91%
- Individuals$27.4M9.2%
- Individual clients
- 58reported
- HNW clients
- 95reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 175reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• S•• O•••• P•••••••Certified Financial Planner | Bloomington, Mn | Dec 11, 2013 | 25 y | 1 |
| M•••••• J••••• P••••••Certified Financial Planner, Chartered Financial Consultant | Bloomington, Mn | Oct 12, 2017 | 17 y | 2 |
| A•••• N••••• B•••••Certified Financial Planner, Chartered Financial Consultant | Bloomington, Mn | Sep 4, 2019 | 27 y | 0 |
| A••••• J••••• C•••••••Certified Financial Planner | Bloomington, Mn | Jul 28, 2021 | 19 y | 0 |
| F•••••••• R••••• S•••••Chartered Financial Analyst | Bloomington, Mn | Jun 4, 2026 | 14 y | 1 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 20% of current headcount3 left over 36 months
Left, latest
- T•••••• J•••• S•••••• to C••••• I••••••••• A••••••• L••Mar 10, 2026 · RIA to affiliated broker-dealer or bank
- R••• Z•••••• to J••• M••••• S••••••••• L••Feb 12, 2025 · RIA to wirehouse
- L•••• D•••• A•••• to W•••• F•••• A•••••••Jan 22, 2024 · RIA to wirehouse
Joined, latest
- F•••••••• R••••• S••••• from A••••••••• I•••••••• W••••• M•••••••••Jun 4, 2026 · RIA to RIA
- T•••••• J•••• S•••••• from C••••• I••••••••• A••••••• L••May 8, 2025 · Affiliated broker-dealer or bank to independent RIA
- R••• Z•••••• from O•••• W••••• M••••••••• L••Oct 31, 2022 · RIA to RIA
- M•••••• J••••• P•••••• from I••••••••• C•••••• O• A••••••• I•••Oct 12, 2017 · Other
- K•••• S•• O•••• P••••••• from M••••• S•••••• • C•• L••Dec 11, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••••• K••••• S•• O•••• · Managing Member/Chief Compliance Officercontrolsince 12/2010 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Bloomington, Mn · principal | 5 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count collapseChange between filings · filing Mar 10, 2026accounts (Item 5.F.2.f) moved from 593.0 to 175.0 (-70.0%) between the annual amendments of 2025-02-25 and 2026-03-10; the peer median change was +5.0% (3687 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 0.9% percentile
What changed
consecutive filings, newest first
- Legal name · KP FINANCIAL MANAGEMENT, LLC DBA C••••• W••••• S••••••••• to C••••• W••••• S•••••••••, LLCMar 10, 2026 to Aug 4, 2026
- Accounts · 593 to 175May 21, 2025 to Mar 10, 2026
- Advisory employees · 5 to 6May 21, 2025 to Mar 10, 2026
- HNW clients · 93 to 95May 21, 2025 to Mar 10, 2026
- Individual clients · 64 to 58May 21, 2025 to Mar 10, 2026
- Assets in custody · $14.3M to $24.7MMay 21, 2025 to Mar 10, 2026
- State-registered IARs · 5 to 6May 21, 2025 to Mar 10, 2026
- Discretionary RAUM · $284M to $295MMay 21, 2025 to Mar 10, 2026
- HNW RAUM · $261M to $270MMay 21, 2025 to Mar 10, 2026
- Individual RAUM · $25.1M to $27.4MMay 21, 2025 to Mar 10, 2026
- Non-discretionary RAUM · $2.0M to $1.8MMay 21, 2025 to Mar 10, 2026
- RAUM · $286M to $297MMay 21, 2025 to Mar 10, 2026
- Financial planning clients · 1-10 to 1-10Feb 25, 2025 to May 21, 2025
- Accounts · 536 to 593Mar 1, 2024 to Feb 25, 2025
- HNW clients · 80 to 93Mar 1, 2024 to Feb 25, 2025
- Employees · 8 to 10Mar 1, 2024 to Feb 25, 2025
- Discretionary RAUM · $248M to $284MMar 1, 2024 to Feb 25, 2025
- HNW RAUM · $220M to $261MMar 1, 2024 to Feb 25, 2025
- Individual RAUM · $30.5M to $25.1MMar 1, 2024 to Feb 25, 2025
- Non-discretionary RAUM · $2.5M to $2.0MMar 1, 2024 to Feb 25, 2025
- RAUM · $251M to $286MMar 1, 2024 to Feb 25, 2025
- Accounts · 521 to 536Oct 12, 2023 to Mar 1, 2024
- Advisory employees · 7 to 5Oct 12, 2023 to Mar 1, 2024
- HNW clients · 79 to 80Oct 12, 2023 to Mar 1, 2024
- Individual clients · 57 to 64Oct 12, 2023 to Mar 1, 2024
- Assets in custody · $14.9M to $14.3MOct 12, 2023 to Mar 1, 2024
- Employees · 10 to 8Oct 12, 2023 to Mar 1, 2024
- Financial planning clients · 0 to 1-10Oct 12, 2023 to Mar 1, 2024
- State-registered IARs · 6 to 5Oct 12, 2023 to Mar 1, 2024
- Discretionary RAUM · $219M to $248MOct 12, 2023 to Mar 1, 2024
- HNW RAUM · $194M to $220MOct 12, 2023 to Mar 1, 2024
- Individual RAUM · $26.3M to $30.5MOct 12, 2023 to Mar 1, 2024
- Non-discretionary RAUM · $2.1M to $2.5MOct 12, 2023 to Mar 1, 2024
- RAUM · $221M to $251MOct 12, 2023 to Mar 1, 2024
- Accounts · 497 to 521Apr 27, 2022 to Feb 10, 2023
- Advisory employees · 5 to 7Apr 27, 2022 to Feb 10, 2023
- HNW clients · 71 to 79Apr 27, 2022 to Feb 10, 2023
- Individual clients · 53 to 57Apr 27, 2022 to Feb 10, 2023
- Assets in custody · $68.1M to $14.9MApr 27, 2022 to Feb 10, 2023
- Custody of client assets · true to falseApr 27, 2022 to Feb 10, 2023
Signals
4 dated events
- T•••••• J•••• S•••••• left C••••• W••••• S••••••••• for C••••• I••••••••• A••••••• L•• (registered 2026-06-02)Mar 10, 2026 · Advisor changed firm · fact
- R••• Z•••••• left C••••• W••••• S••••••••• for J••• M••••• S••••••••• L•• (registered 2025-01-22)Feb 12, 2025 · Advisor changed firm · fact
- L•••• D•••• A•••• left C••••• W••••• S••••••••• for W•••• F•••• A••••••• (registered 2025-05-19)Jan 22, 2024 · Advisor changed firm · fact
- C••••• W••••• S••••••••• filed its initial SEC registration (Form ADV)Oct 2, 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.
How to reach
public business contact points only, each with its source
- Business phone
- 612-426-6007reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- C•••••WEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 612-426-6007reportedpublic record, Form ADV, Aug 4, 2026
- Contact form
- caissawealth.com/contact-usreportedpublished 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
- $59.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026