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.

Former SEC-registered adviser

Gradient Wealth Management, LLC

Former SEC-registered adviserArden Hills, MinnesotaCRD 169369SEC 801-78699IAPD
Latest filing Jul 7, 2014
First filing on the tape Oct 9, 2013 · 12 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Jul 7, 2014
Oct 9, 20132 then
Employees (5.A)2 as of Jul 7, 2014
Oct 9, 20132 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 7, 2014; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, selection of other advisersreportedItem 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)
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
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixedreported
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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Edward Charles Lucius · Chief Compliance Officer/Ownercontrol
    since 10/2013 · 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 · 4 to 2
    May 28, 2014 to Jul 7, 2014
  • Employees · 4 to 2
    May 28, 2014 to Jul 7, 2014
  • State-registered IARs · 4 to 2
    May 28, 2014 to Jul 7, 2014
  • Advisory employees · 3 to 4
    Jan 20, 2014 to Apr 2, 2014
  • Employees · 3 to 4
    Jan 20, 2014 to Apr 2, 2014
  • State-registered IARs · 3 to 4
    Jan 20, 2014 to Apr 2, 2014
  • BD registered reps · 1 to 0
    Dec 16, 2013 to Jan 20, 2014
  • Advisory employees · 2 to 3
    Dec 16, 2013 to Dec 16, 2013
  • Employees · 2 to 3
    Dec 16, 2013 to Dec 16, 2013
  • State-registered IARs · 2 to 3
    Dec 16, 2013 to Dec 16, 2013
  • Insurance-licensed employees · 2 to 1
    Oct 22, 2013 to Nov 22, 2013
Signals
1 dated events
  • Gradient Wealth Management, Llc filed its initial SEC registration (Form ADV)
    Oct 9, 2013 · 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.
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