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

C••••••• A••••••• G•••• L••

Former SEC-registered adviserEdina, MinnesotaCRD 153443SEC 801-71325IAPD
Latest filing Sep 23, 2019
First filing on the tape Jan 6, 2012 · 36 filings
RAUM
$443M
reported, Item 5.F
Discretionary
33%
of RAUM
Private clients
100%
$441M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$422M as of Mar 5, 2019
Jan 6, 2012$181M then
HNW client RAUM$110M as of Mar 5, 2019
Mar 7, 2018$112M then
State-registered IARs (5.B.3)7 as of Mar 5, 2019
Jan 6, 20120 then
Employees (5.A)8 as of Mar 5, 2019
Mar 4, 20137 then
Private funds: no history
RAUM +1.2% over the last fiscal year+12% a year over threeIARs 6 to 5
Practice profile
derived from the filing of Sep 23, 2019; every figure names its basis
RAUM per advisor
$88.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
134derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$818,380derivedHNW RAUM over HNW clients
Average account
$117,870derivedRAUM over accounts (5.F.2.f)
Discretionary
33%derivedof RAUM
Institutional
0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
2.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-3.4%derivedbetween the last two annual amendments
Advisor growth, one year
+17%derivedItem 5.B.3 between annual amendments
Client growth, one year
-67%derived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, 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)
  • 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
  • Individuals$315M71%
  • High-net-worth individuals$126M28%
  • Pension and profit-sharing plans$1.1M0.2%
  • Charitable organizations$1.0M0.2%
Individual clients
514reported
HNW clients
154reported
Pension plan clients
2reported
Charitable clients
2reported
Accounts
3,756reported
Financial planning clients
1-10reported
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
Joined, latest
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
    • M••••••••• G••••••• J••••• · Chief Compliance Officercontrol
      since 03/2010 · owns 50% to 75%
    • S•••••••• S••••• M•••••• · Managing Partnercontrol
      since 03/2010 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    • C•••••••• I••••••••• R••••••• A•••••••• I•••
      investment advisern
    Offices
    Schedule D 1.F, the 25 largest
    • Eagan, MN1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 5,120 to 3,756
      Apr 1, 2019 to Sep 23, 2019
    • Advisory employees · 6 to 5
      Apr 1, 2019 to Sep 23, 2019
    • BD registered reps · 6 to 5
      Apr 1, 2019 to Sep 23, 2019
    • HNW clients · 114 to 154
      Apr 1, 2019 to Sep 23, 2019
    • Individual clients · 649 to 514
      Apr 1, 2019 to Sep 23, 2019
    • Pension plan clients · 43 to 2
      Apr 1, 2019 to Sep 23, 2019
    • Employees · 7 to 6
      Apr 1, 2019 to Sep 23, 2019
    • State-registered IARs · 6 to 5
      Apr 1, 2019 to Sep 23, 2019
    • Discretionary RAUM · $127M to $144M
      Apr 1, 2019 to Sep 23, 2019
    • HNW RAUM · $110M to $126M
      Apr 1, 2019 to Sep 23, 2019
    • Individual RAUM · $105M to $315M
      Apr 1, 2019 to Sep 23, 2019
    • Non-discretionary RAUM · $296M to $298M
      Apr 1, 2019 to Sep 23, 2019
    • Pension RAUM · $206M to $1.1M
      Apr 1, 2019 to Sep 23, 2019
    • RAUM · $422M to $443M
      Apr 1, 2019 to Sep 23, 2019
    • Advisory employees · 7 to 6
      Mar 5, 2019 to Apr 1, 2019
    • BD registered reps · 7 to 6
      Mar 5, 2019 to Apr 1, 2019
    • Employees · 8 to 7
      Mar 5, 2019 to Apr 1, 2019
    • State-registered IARs · 7 to 6
      Mar 5, 2019 to Apr 1, 2019
    • Individual RAUM · $114M to $105M
      Sep 11, 2018 to Mar 5, 2019
    • Non-discretionary RAUM · $325M to $296M
      Sep 11, 2018 to Mar 5, 2019
    • Pension RAUM · $224M to $206M
      Sep 11, 2018 to Mar 5, 2019
    • RAUM · $459M to $422M
      Sep 11, 2018 to Mar 5, 2019
    • Accounts · 5,533 to 5,120
      Sep 11, 2018 to Mar 5, 2019
    • HNW clients · 144 to 114
      Sep 11, 2018 to Mar 5, 2019
    • Individual clients · 2,245 to 649
      Sep 11, 2018 to Mar 5, 2019
    • Pension plan clients · 45 to 43
      Sep 11, 2018 to Mar 5, 2019
    • Discretionary RAUM · $134M to $127M
      Sep 11, 2018 to Mar 5, 2019
    • HNW RAUM · $122M to $110M
      Sep 11, 2018 to Mar 5, 2019
    • Accounts · 6,028 to 5,533
      Mar 7, 2018 to Jun 20, 2018
    • Advisory employees · 6 to 7
      Mar 7, 2018 to Jun 20, 2018
    • BD registered reps · 6 to 7
      Mar 7, 2018 to Jun 20, 2018
    • HNW clients · 141 to 144
      Mar 7, 2018 to Jun 20, 2018
    • Individual clients · 2,186 to 2,245
      Mar 7, 2018 to Jun 20, 2018
    • Pension plan clients · 42 to 45
      Mar 7, 2018 to Jun 20, 2018
    • Employees · 7 to 8
      Mar 7, 2018 to Jun 20, 2018
    • State-registered IARs · 6 to 7
      Mar 7, 2018 to Jun 20, 2018
    • Discretionary RAUM · $126M to $134M
      Mar 7, 2018 to Jun 20, 2018
    • HNW RAUM · $112M to $122M
      Mar 7, 2018 to Jun 20, 2018
    • Individual RAUM · $112M to $114M
      Mar 7, 2018 to Jun 20, 2018
    • Non-discretionary RAUM · $311M to $325M
      Mar 7, 2018 to Jun 20, 2018
    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