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
W••••• • A••••••••• I•••
Latest filing Apr 13, 2026
First filing on the tape Feb 5, 2025 · 4 filings
SEC status approved since Feb 21, 2025
RAUM
$180M
reported, Item 5.F
Discretionary
45%
of RAUM
Private clients
53%
$95.8M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$60.1M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$180M as of Apr 13, 2026
Feb 5, 2025$142M then
HNW client RAUM$52.9M as of Apr 13, 2026
Feb 5, 2025$38.5M then
State-registered IARs (5.B.3)3 as of Apr 13, 2026
Feb 5, 20252 then
Employees (5.A)4 as of Apr 13, 2026
Feb 5, 20253 then
Private funds: no history
RAUM +27% over the last fiscal yearIARs 2 to 3offices 0 to 1
Practice profile
derived from the filing of Apr 13, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $60.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 57derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $427,984derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 45%derivedof RAUM
- Institutional
- 44%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +27%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +27%derived
- Compensation
- percentage of assets, hourly, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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
- Pension and profit-sharing plans$72.4M40%
- High-net-worth individuals$52.9M29%
- Individuals$42.9M24%
- Charitable organizations$7.4M4.1%
- Corporations and businesses$4.6M2.5%
- Individual clients
- 133reported
- HNW clients
- 39reported
- Pension plan clients
- 4reported
- Charitable clients
- 3reported
- Accounts
- 421reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourly, performancereported
- Class basis
- private_client_share=0.53 fund_share=0.0 institutional_share=0.44 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W••• M••••••• W•••••Certified Financial Planner | Jackson, Mn | Dec 9, 2013 | 35 y | 2 |
| M•••••• L••••• P•••• | Saint James, Mn | Feb 14, 2018 | 30 y | 1 |
| S••••••• L•• W••••• | Jackson, Mn | Jul 16, 2020 | 11 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- W••• M••••••• W••••• from I••••• F•••••••• C•••••••••Dec 9, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•••••• W•••• M••••••• · President & Chief Compliance Officercontrolsince 12/2011 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Jackson, Mn · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Apr 13, 2026institutional share of RAUM of 44% against a peer median of 0% (5678 comparable advisers, 98.0th percentile, 14.8 robust deviations)peers: independent wealth managers, $100M to $500M (5,678) · 98% percentile
What changed
consecutive filings, newest first
- BD registered reps · 1 to 0Mar 3, 2026 to Apr 13, 2026
- Insurance-licensed employees · 1 to 0Mar 3, 2026 to Apr 13, 2026
- Accounts · 303 to 421Aug 13, 2025 to Mar 3, 2026
- Advisory employees · 2 to 3Aug 13, 2025 to Mar 3, 2026
- BD registered reps · 0 to 1Aug 13, 2025 to Mar 3, 2026
- Charity clients · 2 to 3Aug 13, 2025 to Mar 3, 2026
- Corporate clients · 0 to 4Aug 13, 2025 to Mar 3, 2026
- HNW clients · 26 to 39Aug 13, 2025 to Mar 3, 2026
- Individual clients · 109 to 133Aug 13, 2025 to Mar 3, 2026
- Employees · 3 to 4Aug 13, 2025 to Mar 3, 2026
- Insurance-licensed employees · 0 to 1Aug 13, 2025 to Mar 3, 2026
- State-registered IARs · 2 to 3Aug 13, 2025 to Mar 3, 2026
- Other offices · 0 to 1Aug 13, 2025 to Mar 3, 2026
- Discretionary RAUM · $59.3M to $80.6MAug 13, 2025 to Mar 3, 2026
- HNW RAUM · $38.5M to $52.9MAug 13, 2025 to Mar 3, 2026
- Individual RAUM · $34.5M to $42.9MAug 13, 2025 to Mar 3, 2026
- Non-discretionary RAUM · $82.4M to $99.5MAug 13, 2025 to Mar 3, 2026
- Pension RAUM · $62.8M to $72.4MAug 13, 2025 to Mar 3, 2026
- RAUM · $142M to $180MAug 13, 2025 to Mar 3, 2026
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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 507-847-3886reportedpublic record, Form ADV, Apr 13, 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
- $60.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026