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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

L••••••• W••••• H•••• L••

Former SEC-registered adviserMinneapolis, MinnesotaCRD 160493SEC 801-73274IAPD
Latest filing Aug 20, 2013
First filing on the tape Feb 10, 2012 · 5 filings
RAUM
$17.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
28
15 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$17.6M gross assets
History
5 filings and snapshots on the tape
RAUM$17.6M as of Aug 20, 2013
Feb 10, 2012$60.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Aug 20, 2013
Mar 4, 20130 then
Employees (5.A)28 as of Aug 20, 2013
Mar 4, 201331 then
Private funds1 as of Aug 20, 2013
Feb 10, 20123 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 20, 2013; every figure names its basis
RAUM per advisor
$8.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$17.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
14.0derivedItem 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
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$17.6M, 1 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$17.6M for 1 clientsreported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      L••••••• C• F•••• L•••no longer reportedHedge Fund$38.6M19Feb 10, 2012
      A••••••••• F•••• L•••no longer reportedHedge Fund$5.6M2Feb 10, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • H••••• D•••••• J••••• · Chief Technology Officercontrol
        since 12/2006 · owns less than 5%
      • L•••••••• J••••••• C••• · Co-Chief Executive Officer, Managing Member And Managercontrol
        since 07/2005 · owns less than 5%
      • M••••••• J•••• C••••••••• · Co-Chief Executive Officer, Managing Member And Managercontrol
        since 07/2005 · owns less than 5%
      • P•••••• R••••• A•••• · Chief Compliance Officercontrol
        since 11/2005 · owns less than 5%
      • R•••••• D••••••• R•••••• · Chief Investment Officer And Portfolio Managercontrol
        since 10/2011 · owns less than 5%
      • W••••• H••••• J• · Chief Financial Officercontrol
        since 08/2011 · owns less than 5%
      • L•••••••• S•••••• C••••• · Membercontrol
        since 01/2013 · owns 25% to 50% of Leuthold Weeden Capital Management
      Entity owners
      • L••••••• W••••• C•••••• M••••••••• · Sole Owner
        direct · owns 75% or more
      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 · 16 to 15
        Jun 19, 2013 to Aug 20, 2013
      • Employees · 29 to 28
        Jun 19, 2013 to Aug 20, 2013
      • BD registered reps · 10 to 9
        Mar 4, 2013 to Jun 19, 2013
      • Employees · 31 to 29
        Mar 4, 2013 to Jun 19, 2013
      • State-registered IARs · 0 to 2
        Mar 4, 2013 to Jun 19, 2013
      • Related broker-dealer · false to true
        Mar 4, 2013 to Jun 19, 2013
      • Accounts · 3 to 1
        Feb 14, 2012 to Mar 4, 2013
      • Advisory employees · unset to 16.0
        Feb 14, 2012 to Mar 4, 2013
      • BD registered reps · unset to 10.0
        Feb 14, 2012 to Mar 4, 2013
      • Assets in custody · $60.9M to $17.6M
        Feb 14, 2012 to Mar 4, 2013
      • Employees · unset to 31.0
        Feb 14, 2012 to Mar 4, 2013
      • Insurance-licensed employees · 0 to 2
        Feb 14, 2012 to Mar 4, 2013
      • State-registered IARs · unset to 0.0
        Feb 14, 2012 to Mar 4, 2013
      • Private funds · 3 to 1
        Feb 14, 2012 to Mar 4, 2013
      • Discretionary RAUM · $60.9M to $17.6M
        Feb 14, 2012 to Mar 4, 2013
      • RAUM · $60.9M to $17.6M
        Feb 14, 2012 to Mar 4, 2013
      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