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
J••• A••••• I••••••••• C••••••••• L••
Latest filing Mar 3, 2026
First filing on the tape Feb 27, 2021 · 11 filings
SEC status approved since Mar 29, 2021
RAUM
$142M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$142M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$71.1M
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
11 filings and snapshots on the tape
RAUM$142M as of Mar 3, 2026
Feb 2, 2022$132M then
HNW client RAUM$91.5M as of Mar 3, 2026
Feb 2, 2022$79.4M then
State-registered IARs (5.B.3)2 as of Mar 3, 2026
Feb 2, 20222 then
Employees (5.A)2 as of Mar 3, 2026
Feb 2, 20222 then
Private funds: no history
RAUM -5.3% over the last fiscal year+20% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 3, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $71.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 128derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $354,456derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, 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
- -5.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.8%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $150M, 258 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$91.5M64%
- Individuals$50.6M36%
- Individual clients
- 204reported
- HNW clients
- 52reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 401reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $150M for 258 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• D•••• A••••• | Edina, Mn | Apr 14, 2016 | 32 y | 2 |
| J••• M••••• A••••• | Edina, Mn | Mar 18, 2020 | 24 y | 1 |
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
- J••• M••••• A••••• from N•••••••• B••••• B• L••Mar 18, 2020 · Other
- J••••• D•••• A••••• from T•••••••••Apr 14, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• J•••••• D•••• · Chief Compliance Officer/Managing Membercontrolsince 02/2016 · 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 |
|---|---|---|---|---|---|
| Edina, Mn · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 360 to 401Feb 14, 2025 to Mar 3, 2026
- HNW clients · 48 to 52Feb 14, 2025 to Mar 3, 2026
- Individual clients · 210 to 204Feb 14, 2025 to Mar 3, 2026
- Financial planning clients · 11-25 to 1-10Feb 14, 2025 to Mar 3, 2026
- Discretionary RAUM · $150M to $142MFeb 14, 2025 to Mar 3, 2026
- HNW RAUM · $74.4M to $91.5MFeb 14, 2025 to Mar 3, 2026
- Individual RAUM · $75.6M to $50.6MFeb 14, 2025 to Mar 3, 2026
- RAUM · $150M to $142MFeb 14, 2025 to Mar 3, 2026
- Financial planning clients · 11-25 to 11-25Jan 20, 2025 to Feb 14, 2025
- Accounts · 353 to 360Jan 11, 2024 to Jan 20, 2025
- HNW clients · 52 to 48Jan 11, 2024 to Jan 20, 2025
- Individual clients · 208 to 210Jan 11, 2024 to Jan 20, 2025
- Assets in custody · $123M to $150MJan 11, 2024 to Jan 20, 2025
- Discretionary RAUM · $120M to $150MJan 11, 2024 to Jan 20, 2025
- HNW RAUM · $74.5M to $74.4MJan 11, 2024 to Jan 20, 2025
- Individual RAUM · $45.5M to $75.6MJan 11, 2024 to Jan 20, 2025
- RAUM · $120M to $150MJan 11, 2024 to Jan 20, 2025
- Accounts · 360 to 353Apr 7, 2023 to Jan 11, 2024
- HNW clients · 55 to 52Apr 7, 2023 to Jan 11, 2024
- Individual clients · 168 to 208Apr 7, 2023 to Jan 11, 2024
- Financial planning clients · 1-10 to 11-25Apr 7, 2023 to Jan 11, 2024
- Discretionary RAUM · $99.4M to $120MApr 7, 2023 to Jan 11, 2024
- HNW RAUM · $61.0M to $74.5MApr 7, 2023 to Jan 11, 2024
- Individual RAUM · $38.4M to $45.5MApr 7, 2023 to Jan 11, 2024
- RAUM · $99.4M to $120MApr 7, 2023 to Jan 11, 2024
- Accounts · 358 to 360Mar 15, 2023 to Apr 7, 2023
- HNW clients · 53 to 55Mar 15, 2023 to Apr 7, 2023
- Individual clients · 167 to 168Mar 15, 2023 to Apr 7, 2023
- Discretionary RAUM · $94.5M to $99.4MMar 15, 2023 to Apr 7, 2023
- HNW RAUM · $44.2M to $61.0MMar 15, 2023 to Apr 7, 2023
- Individual RAUM · $50.3M to $38.4MMar 15, 2023 to Apr 7, 2023
- RAUM · $94.5M to $99.4MMar 15, 2023 to Apr 7, 2023
- Accounts · 355 to 358Mar 14, 2023 to Mar 15, 2023
- Individual clients · 166 to 167Mar 14, 2023 to Mar 15, 2023
- Discretionary RAUM · $82.9M to $94.5MMar 14, 2023 to Mar 15, 2023
- Individual RAUM · $38.8M to $50.3MMar 14, 2023 to Mar 15, 2023
- RAUM · $82.9M to $94.5MMar 14, 2023 to Mar 15, 2023
- Accounts · 356 to 355Oct 13, 2022 to Mar 14, 2023
- HNW clients · 56 to 53Oct 13, 2022 to Mar 14, 2023
- Individual clients · 205 to 166Oct 13, 2022 to Mar 14, 2023
Signals
1 dated events
- J••• A••••• I••••••••• C••••••••• L•• filed its initial SEC registration (Form ADV)Feb 27, 2021 · 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
- Website
- w••.m•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 952-925-5608reportedpublic record, Form ADV, Mar 3, 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
- $71.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026