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
T•• A••••••• G••••• L••
Latest filing Feb 4, 2026
First filing on the tape Mar 28, 2012 · 36 filings
SEC status approved since Feb 25, 2011
RAUM
$810M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$782M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$90.0M
derived; firm RAUM over IAPD count
Employees
17
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$810M as of Feb 4, 2026
Mar 28, 2012$247M then
HNW client RAUM$755M as of Feb 4, 2026
Feb 23, 2018$180M then
State-registered IARs (5.B.3)11 as of Feb 4, 2026
Mar 28, 20120 then
Employees (5.A)17 as of Feb 4, 2026
Mar 18, 201313 then
Private funds: no history
RAUM +14% over the last fiscal year+11% a year over threeIARs 11 to 11
Practice profile
derived from the filing of Feb 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
- $90.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $758,362derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.9derivedItem 5.A over advisors
- Advisors per office
- 9.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.4%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $318M, 158 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$755M93%
- Charitable organizations$27.9M3.4%
- Individuals$27.1M3.3%
- Individual clients
- 124reported
- HNW clients
- 222reported
- Pension plan clients
- n/areported
- Charitable clients
- 48reported
- Accounts
- 1,068reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $318M for 158 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• L•• C•••••••Certified Financial Planner | Minnetonka, Mn | Dec 16, 2013 | 21 y | 0 |
| S••• P•••••• O•••••Certified Financial Planner | Minnetonka, Mn | Jun 20, 2014 | 17 y | 1 |
| E•••••••• E•••• K•••••••Certified Financial Planner | Minnetonka, Mn | Mar 5, 2015 | 12 y | 0 |
| E•••• M••• M••••••••Certified Financial Planner | Minnetonka, Mn | Dec 19, 2017 | 11 y | 0 |
| S••• P•••••• H•••••••••Chartered Financial Analyst | Minnetonka, Mn | Oct 28, 2019 | 12 y | 0 |
| H••••• J•• H••••••••Chartered Financial Analyst | Minnetonka, Mn | Oct 24, 2022 | 10 y | 0 |
| B•••••• P••• S•••Certified Financial Planner | Minnetonka, Mn | Nov 5, 2024 | 13 y | 1 |
| E•••• A•• E••••••••Certified Financial Planner | Minnetonka, Mn | Oct 30, 2025 | 9 y | 1 |
| S•••• H•••••••Certified Financial Planner | Minnetonka, Mn | Jul 9, 2026 | 11 y | 0 |
Advisor movement
3 left, 1 joined in 12 months
net -2 in 12 months2 left in 90 days0 joined in 90 daysdeparture rate 33% of current headcount5 left over 36 months
Left, latest
- J•••• J• W•••••• to A••••••••• F•••••••• S•••••••• L••Aug 14, 2026 · RIA to affiliated broker-dealer or bank
- S•••••• F• K•••• to C••••••••• F•••••••• N••••••Jul 27, 2026 · RIA to affiliated broker-dealer or bank
- D•••• J•••• I••••• to T•• B••••• C••••••Jan 5, 2026 · RIA to RIA
- B••••• M•••• N•••• to J••• F•••••••• A•••••••• L••Jun 26, 2025 · RIA to RIA
- J•••• M• S••••••• to J•• F•••••••• G•••• L••May 2, 2024 · RIA to RIA
- F••• E••• H•••• to E••• W••••• M••••••••• L••Mar 26, 2015 · Other
Joined, latest
- E•••• A•• E•••••••• from K••••• A••••••• S•••••••• L••Oct 30, 2025 · Affiliated broker-dealer or bank to independent RIA
- B•••••• P••• S••• from S•••••• D•••• W•••••• I••••••••• A••••••• L••Nov 5, 2024 · RIA to RIA
- J•••• M• S••••••• from M• F•••••••• A••••••• • V••••••• F••••••••May 26, 2022 · RIA to RIA
- S•••••• F• K•••• from C••••••••• F•••••••• N••••••Nov 18, 2021 · Affiliated broker-dealer or bank to independent RIA
- J•••• J• W•••••• from M•• I•••••••• S•••••••• L••Nov 16, 2021 · Affiliated broker-dealer or bank to independent RIA
- S••• P•••••• O••••• from L•• F•••••••• L••Jun 20, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• M••••••• L•• · Ceo, Chief Compliance Officer, Member, Elected Managercontrolsince 03/2016 · owns 25% to 50%
- H••••••••• S•••• P•••••• · Chief Inv••••••• Officer, Membercontrolsince 10/2019 · owns 5% to 10%
- O•••••• S•••• P•••••• · Secretary, Member, Elected Managercontrolsince 12/2017 · owns 10% to 25%
- W••••••• R••••••• A• · Coo, Treasurer, Member, Elected Managercontrolsince 02/2017 · owns 5% to 10%
- K•••••••• E••••••••• E•••• · Membersince 12/2019 · owns 10% to 25%
- M••••••••• E••••• M••• · Membersince 12/2022 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Minnetonka, Mn · principal | 9 | 2 | 3 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,025 to 1,068Nov 3, 2025 to Feb 4, 2026
- Charity clients · 47 to 48Nov 3, 2025 to Feb 4, 2026
- HNW clients · 198 to 222Nov 3, 2025 to Feb 4, 2026
- Individual clients · 140 to 124Nov 3, 2025 to Feb 4, 2026
- Assets in custody · $300M to $318MNov 3, 2025 to Feb 4, 2026
- Discretionary RAUM · $710M to $808MNov 3, 2025 to Feb 4, 2026
- HNW RAUM · $659M to $755MNov 3, 2025 to Feb 4, 2026
- Individual RAUM · $29.4M to $27.1MNov 3, 2025 to Feb 4, 2026
- Non-discretionary RAUM · $3.1M to $1.7MNov 3, 2025 to Feb 4, 2026
- RAUM · $713M to $810MNov 3, 2025 to Feb 4, 2026
- Accounts · 947 to 1,025Feb 14, 2024 to Feb 17, 2025
- Charity clients · 45 to 47Feb 14, 2024 to Feb 17, 2025
- HNW clients · 193 to 198Feb 14, 2024 to Feb 17, 2025
- Individual clients · 127 to 140Feb 14, 2024 to Feb 17, 2025
- Assets in custody · $266M to $300MFeb 14, 2024 to Feb 17, 2025
- Financial planning clients · 251-500 to 251-500Feb 14, 2024 to Feb 17, 2025
- Discretionary RAUM · $633M to $710MFeb 14, 2024 to Feb 17, 2025
- HNW RAUM · $588M to $659MFeb 14, 2024 to Feb 17, 2025
- Individual RAUM · $26.4M to $29.4MFeb 14, 2024 to Feb 17, 2025
- Non-discretionary RAUM · $2.5M to $3.1MFeb 14, 2024 to Feb 17, 2025
- RAUM · $636M to $713MFeb 14, 2024 to Feb 17, 2025
- Accounts · 901 to 947Feb 17, 2023 to Feb 14, 2024
- Advisory employees · 10 to 11Feb 17, 2023 to Feb 14, 2024
- Charity clients · 43 to 45Feb 17, 2023 to Feb 14, 2024
- HNW clients · 171 to 193Feb 17, 2023 to Feb 14, 2024
- Individual clients · 140 to 127Feb 17, 2023 to Feb 14, 2024
- Assets in custody · $237M to $266MFeb 17, 2023 to Feb 14, 2024
- Employees · 15 to 17Feb 17, 2023 to Feb 14, 2024
- State-registered IARs · 10 to 11Feb 17, 2023 to Feb 14, 2024
- Discretionary RAUM · $588M to $633MFeb 17, 2023 to Feb 14, 2024
- HNW RAUM · $538M to $588MFeb 17, 2023 to Feb 14, 2024
- Individual RAUM · $26.1M to $26.4MFeb 17, 2023 to Feb 14, 2024
- Non-discretionary RAUM · $3.0M to $2.5MFeb 17, 2023 to Feb 14, 2024
- RAUM · $591M to $636MFeb 17, 2023 to Feb 14, 2024
- Accounts · 926 to 901Aug 29, 2022 to Feb 17, 2023
- Advisory employees · 9 to 10Aug 29, 2022 to Feb 17, 2023
- Charity clients · 40 to 43Aug 29, 2022 to Feb 17, 2023
- HNW clients · 189 to 171Aug 29, 2022 to Feb 17, 2023
- Individual clients · 114 to 140Aug 29, 2022 to Feb 17, 2023
- Assets in custody · $193M to $237MAug 29, 2022 to Feb 17, 2023
Signals
9 dated events
- S•••••• F• K•••• left T•• A••••••• G••••• L•• for C••••••••• F•••••••• N•••••• (registered 2026-07-30)Jul 27, 2026 · Advisor changed firm · fact
- D•••• J•••• I••••• left T•• A••••••• G••••• L•• for T•• B••••• C•••••• (registered 2026-06-26)Jan 5, 2026 · Advisor changed firm · fact
- B••••• M•••• N•••• left T•• A••••••• G••••• L•• for J••• F•••••••• A•••••••• L•• (registered 2025-07-09)Jun 26, 2025 · Advisor changed firm · fact
- J•••• M• S••••••• left T•• A••••••• G••••• L•• for J•• F•••••••• G•••• L•• (registered 2024-05-15)May 2, 2024 · Advisor changed firm · fact
- Lee Ricky Lueck (Chief Executive Officer, Managing Member, Elected Manager) no longer on Schedule A of T•• A••••••• G••••• L•• (listed 2022-08-29, absent 2023-02-17)Feb 17, 2023 · Control person left · inference
- Bernard David Van Benschoten (Member) no longer on Schedule A of T•• A••••••• G••••• L•• (listed 2019-05-01, absent 2020-02-26)Feb 26, 2020 · Control person left · inference
- Phillip Seth Heimermann (Chief Investment Officer, Member) appeared on Schedule A of T•• A••••••• G••••• L••Feb 26, 2020 · Control person joined · fact
- M•••• Shannon O'Leary (Member, Chief Investment Officer, Chief Compliance Officer) no longer on Schedule A of T•• A••••••• G••••• L•• (listed 2019-02-18, absent 2019-05-01)May 1, 2019 · Control person left · inference
- T•• A••••••• G••••• L•• reported RAUM $337.7M, down 29% from $476.4M (2017-05-18 to 2018-02-23)Feb 23, 2018 · RAUM change · derived
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
- r•••••••@t•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 952-693-2631reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 952-693-2630reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/THE-A•••••••-GROUPreportedpublic record, Form ADV, Sep 18, 2026
- Website
- THEA•••••••GROUP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 952-693-2630reportedpublic record, Form ADV, Feb 4, 2026
- Contact form
- t•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- t•••••••••.comreportedpublished 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
- $90.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026