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
T•••• W••••• A•••••••• L••
Latest filing Mar 25, 2026
First filing on the tape Apr 21, 2021 · 9 filings
SEC status approved since May 21, 2021
RAUM
$107M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
82%
$88.3M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$53.6M
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
9 filings and snapshots on the tape
RAUM$107M as of Mar 25, 2026
Mar 31, 2022$172M then
HNW client RAUM$60.6M as of Mar 25, 2026
Mar 31, 2022$112M then
State-registered IARs (5.B.3)2 as of Mar 25, 2026
Mar 31, 20224 then
Employees (5.A)2 as of Mar 25, 2026
Mar 31, 20224 then
Private funds: no history
RAUM +4.7% over the last fiscal year-19% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 25, 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
- $53.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 35derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $356,202derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 14%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
- +4.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -6.8%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $82.4MreportedItem 5.I
- Custody
- $29.6M, 105 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$60.6M58%
- Individuals$27.7M27%
- Pension and profit-sharing plans$15.3M15%
- Individual clients
- 42reported
- HNW clients
- 27reported
- Pension plan clients
- 10reported
- Charitable clients
- n/areported
- Accounts
- 301reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $29.6M for 105 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.82 fund_share=0.0 institutional_share=0.14 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 |
|---|---|---|---|---|
| S•••••• M••••••• M•••• | Hopkins, Mn | Dec 4, 2013 | 33 y | 2 |
| P••• J••••• M•••• | Hopkins, Mn | Jan 27, 2014 | 33 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 headcount2 left over 36 months
Left, latest
- B•••• D• M••••• to X••• S•••••••Mar 9, 2024 · RIA to RIA
- A•••••• W•••••• P•••• to F••••••Jan 2, 2024 · RIA to RIA
- A•••••• J•••• S•••• to C•••••• C•••••• M••••••••• L••Sep 6, 2016 · Other
Joined, latest
- B•••• D• M••••• from E••••• J••••Apr 1, 2021 · Affiliated broker-dealer or bank to independent RIA
- A•••••• J•••• S•••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jan 16, 2015 · Other
- P••• J••••• M•••• from L•••• A••••• • C•• L••Jan 27, 2014 · Other
- S•••••• M••••••• M•••• from U•• F•••••••• S••••••• I•••Dec 4, 2013 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••• P•••• J••••• · Managing Member / Ccocontrolsince 07/2012 · owns 50% to 75%
- M••••• S••••••• M••••••• · Managing Membercontrolsince 01/2016 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Hopkins, Mn · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 284 to 301Sep 11, 2025 to Mar 25, 2026
- HNW clients · 29 to 27Sep 11, 2025 to Mar 25, 2026
- Individual clients · 45 to 42Sep 11, 2025 to Mar 25, 2026
- Pension plan clients · 15 to 10Sep 11, 2025 to Mar 25, 2026
- Assets in custody · $21.7M to $29.6MSep 11, 2025 to Mar 25, 2026
- Financial planning clients · 51-100 to 26-50Sep 11, 2025 to Mar 25, 2026
- Discretionary RAUM · $99.1M to $104MSep 11, 2025 to Mar 25, 2026
- HNW RAUM · $62.6M to $60.6MSep 11, 2025 to Mar 25, 2026
- Individual RAUM · $20.1M to $27.7MSep 11, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $3.3M to $3.6MSep 11, 2025 to Mar 25, 2026
- Pension RAUM · $16.3M to $15.3MSep 11, 2025 to Mar 25, 2026
- RAUM · $102M to $107MSep 11, 2025 to Mar 25, 2026
- Accounts · 343 to 284Mar 28, 2024 to Mar 31, 2025
- HNW clients · 23 to 29Mar 28, 2024 to Mar 31, 2025
- Individual clients · 110 to 45Mar 28, 2024 to Mar 31, 2025
- Pension plan clients · 14 to 15Mar 28, 2024 to Mar 31, 2025
- Assets in custody · unset to 21739080.0Mar 28, 2024 to Mar 31, 2025
- Custody of client assets · false to trueMar 28, 2024 to Mar 31, 2025
- Financial planning clients · 26-50 to 51-100Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $76.7M to $99.1MMar 28, 2024 to Mar 31, 2025
- HNW RAUM · $51.4M to $62.6MMar 28, 2024 to Mar 31, 2025
- Individual RAUM · $25.3M to $20.1MMar 28, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $14.0M to $3.3MMar 28, 2024 to Mar 31, 2025
- Pension RAUM · $14.0M to $16.3MMar 28, 2024 to Mar 31, 2025
- RAUM · $90.7M to $102MMar 28, 2024 to Mar 31, 2025
- Wrap assets (manager) · $62.7M to $0Mar 28, 2024 to Mar 31, 2025
- Wrap assets (sponsor) · $62.7M to $0Mar 28, 2024 to Mar 31, 2025
- Accounts · 723 to 343Mar 20, 2023 to Mar 28, 2024
- Advisory employees · 4 to 2Mar 20, 2023 to Mar 28, 2024
- Charity clients · 1.0 to unsetMar 20, 2023 to Mar 28, 2024
- HNW clients · 59 to 23Mar 20, 2023 to Mar 28, 2024
- Individual clients · 193 to 110Mar 20, 2023 to Mar 28, 2024
- Pension plan clients · 18 to 14Mar 20, 2023 to Mar 28, 2024
- Employees · 4 to 2Mar 20, 2023 to Mar 28, 2024
- Financial planning clients · 11-25 to 26-50Mar 20, 2023 to Mar 28, 2024
- State-registered IARs · 4 to 2Mar 20, 2023 to Mar 28, 2024
- Other offices · 1 to 0Mar 20, 2023 to Mar 28, 2024
- Discretionary RAUM · $191M to $76.7MMar 20, 2023 to Mar 28, 2024
- HNW RAUM · $140M to $51.4MMar 20, 2023 to Mar 28, 2024
- Individual RAUM · $49.6M to $25.3MMar 20, 2023 to Mar 28, 2024
Signals
4 dated events
- T•••• W••••• A•••••••• L•• reported RAUM $90.7M, down 55% from $202.4M (2023-03-20 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- B•••• D• M••••• left T•••• W••••• A•••••••• L•• for X••• S••••••• (registered 2026-02-12)Mar 9, 2024 · Advisor changed firm · fact
- A•••••• W•••••• P•••• left T•••• W••••• A•••••••• L•• for Farther (registered 2024-01-02)Jan 2, 2024 · Advisor changed firm · fact
- T•••• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Apr 21, 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
- Firm profile
- linkedin.com/company/total-wealth-advisors-llc/aboutreportedpublic record, Form ADV, Sep 18, 2026
- Website
- T••••WEALTHADVISORS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 612-294-9208reportedpublic record, Form ADV, Mar 25, 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
- $53.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026