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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Former SEC-registered adviser

C••••• P••• C•••••• A•••••••• L••

Former SEC-registered adviserMinneapolis, MinnesotaCRD 161191SEC 801-74262IAPD
Latest filing Mar 30, 2018
First filing on the tape Feb 15, 2012 · 11 filings
RAUM
$79.1M
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
12
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$74.7M gross assets
History
11 filings and snapshots on the tape
RAUM$79.1M as of Mar 30, 2018
Mar 26, 2013$478M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2018
Mar 26, 20130 then
Employees (5.A)12 as of Mar 30, 2018
Mar 26, 201311 then
Private funds3 as of Mar 30, 2018
Mar 27, 20141 then
RAUM -21% over the last fiscal year-36% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2018; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$19.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-21%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, otherreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • 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
  • Pooled investment vehicles$74.7M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      R•• C•• I•• L•••Securitized Asset Fund$27.4M1Mar 30, 2018
      R•• C•• I••• L•••Securitized Asset Fund$19.3M1Mar 30, 2018
      R•• C•• I• L•••Securitized Asset Fund$11.1M1Mar 30, 2018
      C••••• P••• H•••••• F••• I• L•Real Estate Fund$1.0M27Mar 27, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • L••••• J•••• M•••• · Managing Membercontrol
        since 06/2008 · owns 10% to 25%
      • S••••• B••••• K••• · Managing Membercontrol
        since 01/2010 · owns 5% to 10%
      • A••••••• S••••• W•••••• · Member
        since 06/2008 · owns 5% to 10%
      • D•••••• K••••••• M••••••• · Member
        since 06/2008 · owns 5% to 10%
      • F•••••• A•••••• · Member
        since 06/2013 · owns less than 5%
      • K•••• K•••••• R•••• · Chief Compliance Officer And Member
        since 06/2008 · owns 5% to 10%
      • K••••• J••••• J•••• · Member
        since 06/2008 · owns 5% to 10%
      • T•••••••• J•••• R•••••• · Member
        since 06/2008 · owns 5% to 10%
      • A•••••••• S••••• H••••• · Director
        since 06/2008 · owns F of M••••••• R••••••••• G••••• L••
      • M•••••••• D•••••• M••••••• · Director
        since 06/2008 · owns F of M••••••• R••••••••• G••••• L••
      Entity owners
      • M••••••• R••••••••• G••••• L•• · Member
        direct · owns 25% to 50%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 7 to 4
        May 19, 2017 to Mar 30, 2018
      • Advisory employees · 7 to 6
        May 19, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 3.0
        May 19, 2017 to Mar 30, 2018
      • Employees · 7 to 12
        May 19, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        May 19, 2017 to Mar 30, 2018
      • Private funds · 1 to 3
        May 19, 2017 to Mar 30, 2018
      • Discretionary RAUM · $97.9M to $79.1M
        May 19, 2017 to Mar 30, 2018
      • Non-discretionary RAUM · $1.6M to $0
        May 19, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 74660754.0
        May 19, 2017 to Mar 30, 2018
      • RAUM · $99.5M to $79.1M
        May 19, 2017 to Mar 30, 2018
      • Accounts · 8 to 7
        Mar 28, 2016 to Mar 29, 2017
      • Advisory employees · 9 to 7
        Mar 28, 2016 to Mar 29, 2017
      • Employees · 9 to 7
        Mar 28, 2016 to Mar 29, 2017
      • Discretionary RAUM · $117M to $97.9M
        Mar 28, 2016 to Mar 29, 2017
      • Non-discretionary RAUM · $68.9M to $1.6M
        Mar 28, 2016 to Mar 29, 2017
      • RAUM · $186M to $99.5M
        Mar 28, 2016 to Mar 29, 2017
      • Related bank · false to true
        Mar 28, 2016 to Mar 29, 2017
      • Accounts · 9 to 8
        Mar 19, 2015 to Mar 28, 2016
      • Discretionary RAUM · $175M to $117M
        Mar 19, 2015 to Mar 28, 2016
      • Non-discretionary RAUM · $133M to $68.9M
        Mar 19, 2015 to Mar 28, 2016
      • RAUM · $308M to $186M
        Mar 19, 2015 to Mar 28, 2016
      • Accounts · 10 to 9
        Jul 15, 2014 to Mar 19, 2015
      • Advisory activities · 1 to 2
        Jul 15, 2014 to Mar 19, 2015
      • Employees · 11 to 9
        Jul 15, 2014 to Mar 19, 2015
      • Discretionary RAUM · $257M to $175M
        Jul 15, 2014 to Mar 19, 2015
      • Non-discretionary RAUM · $204M to $133M
        Jul 15, 2014 to Mar 19, 2015
      • RAUM · $461M to $308M
        Jul 15, 2014 to Mar 19, 2015
      • Related adviser · false to true
        Jul 15, 2014 to Mar 19, 2015
      • Discretionary RAUM · $284M to $257M
        Mar 27, 2014 to Jul 15, 2014
      • Non-discretionary RAUM · $228M to $204M
        Mar 27, 2014 to Jul 15, 2014
      • RAUM · $511M to $461M
        Mar 27, 2014 to Jul 15, 2014
      • Private funds · unset to 1
        Jun 14, 2013 to Mar 27, 2014
      • Discretionary RAUM · $355M to $284M
        Jun 14, 2013 to Mar 27, 2014
      • Non-discretionary RAUM · $123M to $228M
        Jun 14, 2013 to Mar 27, 2014
      • RAUM · $478M to $511M
        Jun 14, 2013 to Mar 27, 2014
      • Accounts · 7 to 10
        Feb 27, 2012 to Mar 26, 2013
      • Advisory employees · unset to 9.0
        Feb 27, 2012 to Mar 26, 2013
      • BD registered reps · unset to 0.0
        Feb 27, 2012 to Mar 26, 2013
      • Employees · unset to 11.0
        Feb 27, 2012 to Mar 26, 2013
      • State-registered IARs · unset to 0.0
        Feb 27, 2012 to Mar 26, 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
      Across the graphs

      C••••• P••• C•••••• A•••••••• L•• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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