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
S••••••• A•••• M••••••••• I•••
Latest filing Oct 8, 2014
First filing on the tape Mar 16, 2012 · 14 filings
RAUM
$216M
reported, Item 5.F
Discretionary
84%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
16
7 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$216M as of Mar 31, 2014
Mar 30, 2012$76.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)6 as of Mar 31, 2014
Mar 26, 20131 then
Employees (5.A)14 as of Mar 31, 2014
Mar 26, 20135 then
Private funds: no history
RAUM +129% over the last fiscal yearIARs 1 to 6
Practice profile
derived from the filing of Oct 8, 2014; every figure names its basis
- RAUM per advisor
- $36.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $110,431derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 84%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +129%derivedbetween the last two annual amendments
- Advisor growth, one year
- +500%derivedItem 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, selection of other advisers, otherreportedItem 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 a broker-dealer (6.A.1)
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,958reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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•••• B•••• C••••••• to S••••••••• S••••••••• L••Mar 20, 2015 · Other
- J••••• J•• M••••• to S••••••••• S••••••••• L••Mar 20, 2015 · Other
- J•••• P•••••• M•••••• to S••••••••• S••••••••• L••Mar 20, 2015 · Other
- G•••••• J••• G••• to S••••••••• S••••••••• L••Mar 20, 2015 · Other
- J•••• W•••••• H•••••• to S••••••••• S••••••••• L••Mar 20, 2015 · Other
- J••••• M•••••• M••••• to S••••••••• S••••••••• L••Mar 20, 2015 · Other
- T••• M•••••• E•••• to R•••• F••• M••••••••• L••Jun 21, 2013 · Other
- B•••• H••••••• to T• A••••••••• I••••••••• M••••••••• L••Jul 25, 2011 · Other
- B•••• P••• H••••• to B•••••• S•••• C••••••Apr 26, 2010 · Other
Joined, latest
- J•••• P•••••• M•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dec 19, 2012 · Other
- B•••• H••••••• from W•••• F•••• I••••••••• L••Jul 18, 2011 · Other
- T••• M•••••• E•••• from B••••••••• C•••••• M••••••••• L••Sep 21, 2009 · Other
- B•••• P••• H••••• from R•••••• W••••• A•••••••• I•••Aug 28, 2009 · Other
- J•••• B•••• C••••••• from R•••••• W••••• A•••••••• I•••Jul 10, 2009 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 6 left for S••••••••• S••••••••• L••Mar 20, 2015 · Woodbury, Mn · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J••••• F••••••• C• · Directorcontrolsince 07/2009 · owns 5% to 10%
- P••••• B••••••• E••• · Chief Compliance Officer & Presidentcontrolsince 05/2009 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Woodbury, MN
What changed
consecutive filings, newest first
- Employees · 14 to 16Apr 23, 2014 to Apr 28, 2014
- HQ city · EDINA to MINNEAPOLISApr 23, 2014 to Apr 28, 2014
- Accounts · 1,110 to 1,958Oct 22, 2013 to Mar 31, 2014
- Advisory employees · 2 to 7Oct 22, 2013 to Mar 31, 2014
- BD registered reps · 0 to 3Oct 22, 2013 to Mar 31, 2014
- Employees · 5 to 14Oct 22, 2013 to Mar 31, 2014
- State-registered IARs · 1 to 6Oct 22, 2013 to Mar 31, 2014
- Discretionary RAUM · $88.1M to $182MOct 22, 2013 to Mar 31, 2014
- Non-discretionary RAUM · $6.2M to $33.9MOct 22, 2013 to Mar 31, 2014
- RAUM · $94.2M to $216MOct 22, 2013 to Mar 31, 2014
- Financial planning clients · 1-10 to 0Mar 26, 2013 to Apr 11, 2013
- Accounts · 900 to 1,110Mar 4, 2013 to Mar 26, 2013
- Employees · 4 to 5Mar 4, 2013 to Mar 26, 2013
- Discretionary RAUM · $76.1M to $88.1MMar 4, 2013 to Mar 26, 2013
- Non-discretionary RAUM · $0 to $6.2MMar 4, 2013 to Mar 26, 2013
- RAUM · $76.1M to $94.2MMar 4, 2013 to Mar 26, 2013
- Advisory employees · unset to 2.0Mar 30, 2012 to Mar 4, 2013
- BD registered reps · unset to 0.0Mar 30, 2012 to Mar 4, 2013
- Employees · unset to 4.0Mar 30, 2012 to Mar 4, 2013
- State-registered IARs · unset to 1.0Mar 30, 2012 to Mar 4, 2013
Signals
No event on the tape.
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