DFX Intelligence
RIA Intelligence
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Former SEC-registered adviser
S••••••• F•••••••• L••
Latest filing Sep 8, 2026
First filing on the tape Sep 8, 2026 · 1 filings
RAUM
$73.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$73.4M individuals and HNW
Advisors
n/a
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
0 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Sep 8, 2026; every figure names its basis
- RAUM per advisor
- $36.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 126derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $179,186derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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
- financial planning, portfolio management for individualsreportedItem 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$41.6M57%
- Individuals$31.8M43%
- Corporations and businesses$111,8010.2%
- Individual clients
- 233reported
- HNW clients
- 19reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 410reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- on the IAPD state feed, not SEC-registeredderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••••• D• W•••Certified Financial Planner | Shoreview, Mn | Jan 6, 2020 | 22 y | 3 |
| C•••••• C••••• S•••• | Shoreview, Mn | Jul 16, 2026 | 18 y | 1 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days1 joined in 90 days1 left over 36 months
Left, latest
- K•••••• M•••• M•••••• to S•••••••• A•••• M••••••••• L•••Jan 5, 2026 · Other
- M•••••• A•••••• F•••• S••••••••• to A••••••••• F•••••••• S•••••••• L••Sep 5, 2018 · Other
Joined, latest
- C•••••• C••••• S•••• from U••• B•••••• I••••••••• I•••Jul 16, 2026 · Other
- B•••••• D• W••• from S•••••• W••••• M••••••••• L••Jan 6, 2020 · Other
- K•••••• M•••• M•••••• from S•••• W••••• M••••••••• L••Sep 5, 2018 · RIA to a state-registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
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 |
|---|---|---|---|---|---|
| Shoreview, Mn · principal | 2 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
1 dated events
- K•••••• M•••• M•••••• left S••••••• F•••••••• L•• for S•••••••• A•••• M••••••••• L••• (registered 2026-01-06)Jan 5, 2026 · Advisor changed firm · 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
- Website
- MYS•••••••.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 651-330-8746reportedpublic record, Form ADV, Sep 8, 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
- STATE REGISTEREDderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 15, 2026