DFX Intelligence

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R••••• H••• A•••• M••••••••• L••

Independent wealth managerSEC-registered

Independent wealth manager, reporting $132M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-02-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $132M
Advisors: 1
Net advisor flow, 12 months: 0
RAUM change, 1 year: +5.6%
Private clients: 64%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-02-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 27 Feb 2026, RAUM $125M to $132M (+5.6%) on the Form ADV filed 27 Feb 2026, while advisors on the filing held at 1.

Every filed figure, and the identifiersCRD 156768 · SEC 801-123513 · 13 filingsShow

CRD 156768SEC 801-123513First filing on the tape Jan 25, 2012, latest Feb 27, 2026SEC status approved since Mar 23, 2022IAPD

RAUM

$132M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

64%

$84.6M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$132M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

13 filings and snapshots on the tape

RAUM +14% a year over three years · the tape starts Jan 25, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$132M as of Feb 27, 2026

Mar 26, 2012$37.3M then

HNW client RAUM$81.9M as of Feb 27, 2026

Mar 31, 2023$56.7M then

State-registered IARs (5.B.3)1 as of Feb 27, 2026

Mar 26, 20120 then

Employees (5.A)1 as of Feb 27, 2026

Mar 31, 20231 then

Private funds: no history

RAUM +5.6% over the last fiscal year+14% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Feb 27, 2026; every figure names its basis

Archetypes

Solo or small team

The rule behind each archetype, and every derived figure1 rulesShow

Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $132MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 79derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.2MderivedHNW RAUM over HNW clients
Average account: $1.4MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 23%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +5.6%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +80%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
Custody: $75.0M, 24 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

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

62% high-net-worth individuals, 20% charitable organizations, and 3 other client types

The breakdown by client type, and the client counts5 client typesShow

High-net-worth individuals$81.9M62%
Charitable organizations$26.8M20%
Corporations and businesses$17.7M13%
Pension and profit-sharing plans$3.1M2.3%
Individuals$2.7M2.0%

Individual clients: 11reported
HNW clients: 68reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 93reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: $75.0M for 24 clientsreported
Compensation: % of AUMreported
Class basis: RAUM: 64% private clients, 0% pooled funds, 23% institutions; no related broker-dealer; no related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

1 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
P•••• S•••• L••••	St Paul, Mn	Jan 13, 2014	45 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

L••••• P••••• S•••• · Managing Member/Chief Compliance Officercontrol
since 02/2011 · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 92 to 93
Jan 15, 2025 to Feb 27, 2026
Corporate clients · 6 to 9
Jan 15, 2025 to Feb 27, 2026
HNW clients · 38 to 68
Jan 15, 2025 to Feb 27, 2026
Individual clients · 6 to 11
Jan 15, 2025 to Feb 27, 2026
Assets in custody · $69.9M to $75.0M
Jan 15, 2025 to Feb 27, 2026

Full history · 80 changes

Discretionary RAUM · $125M to $132M
Jan 15, 2025 to Feb 27, 2026
HNW RAUM · $81.2M to $81.9M
Jan 15, 2025 to Feb 27, 2026
Individual RAUM · $2.1M to $2.7M
Jan 15, 2025 to Feb 27, 2026
Pension RAUM · $2.7M to $3.1M
Jan 15, 2025 to Feb 27, 2026
RAUM · $125M to $132M
Jan 15, 2025 to Feb 27, 2026
Accounts · 97 to 92
Jan 16, 2024 to Jan 15, 2025
Corporate clients · 9 to 6
Jan 16, 2024 to Jan 15, 2025
HNW clients · 65 to 38
Jan 16, 2024 to Jan 15, 2025
Individual clients · 18 to 6
Jan 16, 2024 to Jan 15, 2025
Assets in custody · $53.8M to $69.9M
Jan 16, 2024 to Jan 15, 2025
Financial planning clients · 0 to 0
Jan 16, 2024 to Jan 15, 2025
HQ city · unset to
Jan 16, 2024 to Jan 15, 2025
HQ state · unset to
Jan 16, 2024 to Jan 15, 2025
Discretionary RAUM · $101M to $125M
Jan 16, 2024 to Jan 15, 2025
HNW RAUM · $64.0M to $81.2M
Jan 16, 2024 to Jan 15, 2025
Individual RAUM · $3.6M to $2.1M
Jan 16, 2024 to Jan 15, 2025
Pension RAUM · $1.8M to $2.7M
Jan 16, 2024 to Jan 15, 2025
RAUM · $101M to $125M
Jan 16, 2024 to Jan 15, 2025
Accounts · 96 to 97
Jan 12, 2024 to Jan 16, 2024
HNW clients · 54 to 65
Jan 12, 2024 to Jan 16, 2024
Individual clients · 28 to 18
Jan 12, 2024 to Jan 16, 2024
Discretionary RAUM · $101M to $101M
Jan 12, 2024 to Jan 16, 2024
HNW RAUM · $64.0M to $64.0M
Jan 12, 2024 to Jan 16, 2024
Individual RAUM · $3.6M to $3.6M
Jan 12, 2024 to Jan 16, 2024
RAUM · $101M to $101M
Jan 12, 2024 to Jan 16, 2024
Assets in custody · $53.8M to $53.8M
Jan 16, 2024 to Jan 16, 2024
Accounts · 102 to 96
Apr 3, 2023 to Jan 12, 2024
Corporate clients · unset to 9.0
Apr 3, 2023 to Jan 12, 2024
HNW clients · 72 to 54
Apr 3, 2023 to Jan 12, 2024
Individual clients · 21 to 28
Apr 3, 2023 to Jan 12, 2024
Assets in custody · unset to 26.0
Apr 3, 2023 to Jan 12, 2024
Custody of client assets · false to true
Apr 3, 2023 to Jan 12, 2024
Discretionary RAUM · $90.3M to $101M
Apr 3, 2023 to Jan 12, 2024
HNW RAUM · $57.0M to $64.0M
Apr 3, 2023 to Jan 12, 2024
Individual RAUM · $3.2M to $3.6M
Apr 3, 2023 to Jan 12, 2024
Pension RAUM · $2.3M to $1.8M
Apr 3, 2023 to Jan 12, 2024
RAUM · $90.3M to $101M
Apr 3, 2023 to Jan 12, 2024
Assets in custody · $26 to $53,800
Jan 12, 2024 to Jan 12, 2024
Assets in custody · $53,800 to $53.8M
Jan 12, 2024 to Jan 12, 2024
Discretionary RAUM · $90.0M to $90.3M
Mar 31, 2023 to Apr 3, 2023
HNW RAUM · $56.7M to $57.0M
Mar 31, 2023 to Apr 3, 2023
Individual RAUM · $3.2M to $3.2M
Mar 31, 2023 to Apr 3, 2023
Pension RAUM · $2.3M to $2.3M
Mar 31, 2023 to Apr 3, 2023
RAUM · $90.0M to $90.3M
Mar 31, 2023 to Apr 3, 2023
Accounts · 92 to 102
Feb 22, 2022 to Mar 31, 2023
HNW clients · 33 to 72
Feb 22, 2022 to Mar 31, 2023
Individual clients · 11 to 21
Feb 22, 2022 to Mar 31, 2023
Pension plan clients · 5.0 to unset
Feb 22, 2022 to Mar 31, 2023
Assets in custody · 62036757.0 to unset
Feb 22, 2022 to Mar 31, 2023
Custody of client assets · true to false
Feb 22, 2022 to Mar 31, 2023
Financial planning clients · unset to 0
Feb 22, 2022 to Mar 31, 2023
Discretionary RAUM · $111M to $90.0M
Feb 22, 2022 to Mar 31, 2023
HNW RAUM · $76.1M to $56.7M
Feb 22, 2022 to Mar 31, 2023
Individual RAUM · $3.9M to $3.2M
Feb 22, 2022 to Mar 31, 2023
Pension RAUM · $4.2M to $2.3M
Feb 22, 2022 to Mar 31, 2023
RAUM · $111M to $90.0M
Feb 22, 2022 to Mar 31, 2023
Accounts · 112 to 92
Mar 26, 2012 to Feb 22, 2022
Advisory employees · unset to 1.0
Mar 26, 2012 to Feb 22, 2022
Advisory activities · 1 to 3
Mar 26, 2012 to Feb 22, 2022
HNW clients · unset to 33.0
Mar 26, 2012 to Feb 22, 2022
Individual clients · unset to 11.0
Mar 26, 2012 to Feb 22, 2022
Pension plan clients · unset to 5.0
Mar 26, 2012 to Feb 22, 2022
Assets in custody · unset to 62036757.0
Mar 26, 2012 to Feb 22, 2022
Custody of client assets · false to true
Mar 26, 2012 to Feb 22, 2022
Employees · unset to 1.0
Mar 26, 2012 to Feb 22, 2022
State-registered IARs · 0 to 1
Mar 26, 2012 to Feb 22, 2022
Other offices · unset to 0.0
Mar 26, 2012 to Feb 22, 2022
Discretionary RAUM · $36.7M to $111M
Mar 26, 2012 to Feb 22, 2022
HNW RAUM · unset to 76131363.0
Mar 26, 2012 to Feb 22, 2022
Individual RAUM · unset to 3873623.0
Mar 26, 2012 to Feb 22, 2022
Non-discretionary RAUM · $585,862 to $0
Mar 26, 2012 to Feb 22, 2022
Pension RAUM · unset to 4229847.0
Mar 26, 2012 to Feb 22, 2022
RAUM · $37.3M to $111M
Mar 26, 2012 to Feb 22, 2022
Accounts · 32 to 112
Mar 22, 2012 to Mar 26, 2012
Discretionary RAUM · $27.8M to $36.7M
Mar 22, 2012 to Mar 26, 2012

Signals

1 dated events

••• Locked
Feb 22, 2022 · 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

Principal office phone: ••• Lockedreportedpublic record, Form ADV, Feb 27, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: $132Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026