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

E••••••• M•••••••• M••••••• L••

Former SEC-registered adviserMinnetonka, MinnesotaCRD 153697SEC 801-71794IAPD
Latest filing Mar 30, 2018
First filing on the tape Jun 4, 2012 · 11 filings
RAUM
$9.0M
reported, Item 5.F
Discretionary
82%
of RAUM
Private clients
77%
$6.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
0
0 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$9.0M as of Mar 30, 2018
Jun 4, 2012$22.8M then
HNW client RAUM: $6.9M
State-registered IARs (5.B.3)0 as of Mar 30, 2018
Jun 4, 20120 then
Employees (5.A)0 as of Mar 30, 2018
Apr 2, 20136 then
Private funds: no history
RAUM +6.2% over the last fiscal year+5.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2018; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.2MderivedHNW RAUM over HNW clients
Average account
$597,533derivedRAUM over accounts (5.F.2.f)
Discretionary
82%derivedof RAUM
Institutional
23%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+6.2%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
  • 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
  • High-net-worth individuals$6.9M77%
  • Pension and profit-sharing plans$1.2M13%
  • Charitable organizations$850,0009.5%
Individual clients
n/areported
HNW clients
6reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
15reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••••• R•••••• D••• · Membercontrol
        since 03/2009 · owns 25% to 50%
      • J••••••• R•••••• A••••• · Membercontrol
        since 03/2009 · owns 25% to 50%
      • P•••••• S••••••• P••••• · Membercontrol
        since 01/2015 · owns less than 5%
      • S••••••• T••••••• W•••• · Chief Compliance Officercontrol
        since 09/2010 · owns less than 5%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 1 to 0
        Mar 29, 2017 to Mar 30, 2018
      • HNW clients · unset to 6.0
        Mar 29, 2017 to Mar 30, 2018
      • Employees · 3 to 0
        Mar 29, 2017 to Mar 30, 2018
      • Other offices · unset to 1.0
        Mar 29, 2017 to Mar 30, 2018
      • Discretionary RAUM · $7.0M to $7.3M
        Mar 29, 2017 to Mar 30, 2018
      • HNW RAUM · unset to 6924000.0
        Mar 29, 2017 to Mar 30, 2018
      • Non-discretionary RAUM · $1.4M to $1.6M
        Mar 29, 2017 to Mar 30, 2018
      • Pension RAUM · unset to 1189000.0
        Mar 29, 2017 to Mar 30, 2018
      • RAUM · $8.4M to $9.0M
        Mar 29, 2017 to Mar 30, 2018
      • Accounts · 9 to 15
        Mar 30, 2016 to Mar 29, 2017
      • Discretionary RAUM · $7.5M to $7.0M
        Mar 30, 2016 to Mar 29, 2017
      • Non-discretionary RAUM · $0 to $1.4M
        Mar 30, 2016 to Mar 29, 2017
      • RAUM · $7.5M to $8.4M
        Mar 30, 2016 to Mar 29, 2017
      • Employees · 4 to 3
        Jul 22, 2015 to Mar 30, 2016
      • Discretionary RAUM · $7.6M to $7.5M
        Jul 22, 2015 to Mar 30, 2016
      • RAUM · $7.6M to $7.5M
        Jul 22, 2015 to Mar 30, 2016
      • Employees · 5 to 4
        Apr 30, 2014 to Apr 6, 2015
      • Discretionary RAUM · $6.6M to $7.6M
        Apr 30, 2014 to Apr 6, 2015
      • RAUM · $6.6M to $7.6M
        Apr 30, 2014 to Apr 6, 2015
      • Accounts · 32 to 9
        Apr 2, 2013 to Apr 29, 2014
      • Employees · 6 to 5
        Apr 2, 2013 to Apr 29, 2014
      • Discretionary RAUM · $27.7M to $6.6M
        Apr 2, 2013 to Apr 29, 2014
      • RAUM · $27.7M to $6.6M
        Apr 2, 2013 to Apr 29, 2014
      • Accounts · 31 to 32
        Dec 20, 2012 to Apr 2, 2013
      • Discretionary RAUM · $25.8M to $27.7M
        Dec 20, 2012 to Apr 2, 2013
      • RAUM · $25.8M to $27.7M
        Dec 20, 2012 to Apr 2, 2013
      • Advisory employees · unset to 1.0
        Aug 16, 2012 to Dec 20, 2012
      • Employees · unset to 6.0
        Aug 16, 2012 to Dec 20, 2012
      • Accounts · 28 to 31
        Jun 4, 2012 to Aug 16, 2012
      • Discretionary RAUM · $22.8M to $25.8M
        Jun 4, 2012 to Aug 16, 2012
      • RAUM · $22.8M to $25.8M
        Jun 4, 2012 to Aug 16, 2012
      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