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
S••• C•••••• I•••
Latest filing Aug 31, 2026
First filing on the tape Jul 12, 2023 · 14 filings
SEC status approved since Aug 11, 2023
RAUM
$144M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$143M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$28.7M
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$144M as of Aug 31, 2026
Mar 7, 2024$136M then
HNW client RAUM$23.3M as of Aug 31, 2026
Mar 7, 2024$25.3M then
State-registered IARs (5.B.3)6 as of Aug 31, 2026
Mar 7, 20247 then
Employees (5.A)6 as of Aug 31, 2026
Mar 7, 20247 then
Private funds: no history
RAUM +0.1% over the last fiscal yearIARs 7 to 6offices 3 to 2
Practice profile
derived from the filing of Aug 31, 2026; every figure names its basis
Archetypes, each a printed rule
- i••••••••• 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $28.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 139derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $704,684derivedHNW RAUM over HNW clients
- Average account
- $75,063derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 1.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- -14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +39%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $11.1M, 118 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$119M83%
- High-net-worth individuals$23.3M16%
- Corporations and businesses$749,3720.5%
- Charitable organizations$283,6920.2%
- Individual clients
- 664reported
- HNW clients
- 33reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 1,913reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $11.1M for 118 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G•••••• B•••• N•••••Certified Financial Planner | Edina, Mn | Jul 1, 2014 | 26 y | 1 |
| A••• L•• R•••••Certified Financial Planner | Rochester, Mn | Oct 11, 2016 | 11 y | 1 |
| T•••••• R• M•••••• | Edina, Mn | Feb 17, 2022 | 14 y | 1 |
| A••••• J••• T•••••Chartered Financial Analyst | Edina, Mn | Oct 18, 2023 | 33 y | 0 |
| G••••• J••••• S•••• | Edina, Mn | Mar 7, 2024 | 36 y | 0 |
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
- N••••• A••••• L•••• to S•••••••• A•••• M••••••••• L•••Mar 29, 2023 · RIA to RIA
- W••• M•••••• J•••••• to S•••••••• A•••• M••••••••• L•••Dec 31, 2020 · RIA to RIA
- G•••••• L•• P••••• to N••••••••• M••••• I••••••••• S•••••••••Jul 31, 2020 · Other
- A••• B•••• to T••••••••• R••••••••• A•••••••• L••Feb 13, 2019 · RIA to RIA
Joined, latest
- T•••••• R• M•••••• from N••• F•••••••• G••••• I•••Feb 17, 2022 · Other
- W••• M•••••• J•••••• from R•• F•••••••• N••••••Mar 13, 2020 · RIA to RIA
- A••• B•••• from T••••••• I••••••••• M••••••••• I•••Nov 9, 2018 · Affiliated broker-dealer or bank to independent RIA
- N••••• A••••• L•••• from R•• F•••••••• N••••••Nov 17, 2017 · Other
- A••• L•• R••••• from N••• F•••••••• G••••• I•••Oct 11, 2016 · Other
- G•••••• L•• P••••• from I••••••••• S•••••••• W••••• M••••••••• L••Oct 6, 2015 · RIA to RIA
- G•••••• B•••• N••••• from N••• F•••••••• G••••• I•••Jul 1, 2014 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from N••• F•••••••• G••••• I•••Oct 8, 2015 · Rochester, Mn
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• T••••••• R• · President And Chief Compliance Officercontrolsince 07/2019 · 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 | 4 | 0 | 0 | ||
| Fairhope, Al | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Rochester, MN2 employees
- , 2 employees
- Boca Raton, FL1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- client mix shiftChange between filings · filing Mar 24, 2026private-client share of RAUM moved from 80.0% to 99.0% between the annual amendments of 2025-04-22 and 2026-03-24peers: WEALTH_I•••••••••, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 1,572 to 1,913Dec 4, 2025 to Mar 24, 2026
- Corporate clients · 2 to 3Dec 4, 2025 to Mar 24, 2026
- HNW clients · 34 to 33Dec 4, 2025 to Mar 24, 2026
- Individual clients · 467 to 664Dec 4, 2025 to Mar 24, 2026
- Assets in custody · $12.7M to $11.1MDec 4, 2025 to Mar 24, 2026
- Insurance-licensed employees · 1 to 2Dec 4, 2025 to Mar 24, 2026
- Discretionary RAUM · $143M to $144MDec 4, 2025 to Mar 24, 2026
- HNW RAUM · $29.8M to $23.3MDec 4, 2025 to Mar 24, 2026
- Individual RAUM · $84.7M to $119MDec 4, 2025 to Mar 24, 2026
- RAUM · $143M to $144MDec 4, 2025 to Mar 24, 2026
- Assets in custody · unset to 12739369.0Jul 30, 2025 to Dec 4, 2025
- Custody of client assets · false to trueJul 30, 2025 to Dec 4, 2025
- Advisory employees · 7 to 6Apr 22, 2025 to Jul 30, 2025
- Employees · 7 to 6Apr 22, 2025 to Jul 30, 2025
- Insurance-licensed employees · 2 to 1Apr 22, 2025 to Jul 30, 2025
- Financial planning clients · unset to Apr 22, 2025 to Jul 30, 2025
- State-registered IARs · 7 to 6Apr 22, 2025 to Jul 30, 2025
- Other offices · 3 to 2Apr 22, 2025 to Jul 30, 2025
- Accounts · 1,549 to 1,572Dec 18, 2024 to Apr 22, 2025
- Charity clients · 0 to 1Dec 18, 2024 to Apr 22, 2025
- Corporate clients · unset to 2.0Dec 18, 2024 to Apr 22, 2025
- HNW clients · 31 to 34Dec 18, 2024 to Apr 22, 2025
- Individual clients · 453 to 467Dec 18, 2024 to Apr 22, 2025
- Discretionary RAUM · $136M to $143MDec 18, 2024 to Apr 22, 2025
- HNW RAUM · $25.3M to $29.8MDec 18, 2024 to Apr 22, 2025
- Individual RAUM · $111M to $84.7MDec 18, 2024 to Apr 22, 2025
- RAUM · $136M to $143MDec 18, 2024 to Apr 22, 2025
- Advisory employees · 8 to 7Apr 22, 2024 to May 9, 2024
- Employees · 8 to 7Apr 22, 2024 to May 9, 2024
- Insurance-licensed employees · 3 to 2Apr 22, 2024 to May 9, 2024
- State-registered IARs · 8 to 7Apr 22, 2024 to May 9, 2024
- Advisory employees · 7 to 8Apr 16, 2024 to Apr 22, 2024
- Employees · 7 to 8Apr 16, 2024 to Apr 22, 2024
- Insurance-licensed employees · 2 to 3Apr 16, 2024 to Apr 22, 2024
- State-registered IARs · 7 to 8Apr 16, 2024 to Apr 22, 2024
- Insurance-licensed employees · 1 to 2Mar 7, 2024 to Apr 16, 2024
- Accounts · 436 to 1,549Oct 18, 2023 to Mar 7, 2024
- HNW clients · 25 to 31Oct 18, 2023 to Mar 7, 2024
- Individual clients · 411 to 453Oct 18, 2023 to Mar 7, 2024
- Discretionary RAUM · $128M to $136MOct 18, 2023 to Mar 7, 2024
Signals
2 dated events
- S••• C•••••• I••• filed its initial SEC registration (Form ADV)Jul 12, 2023 · First SEC registration · fact
- N••••• A••••• L•••• left S••• C•••••• I••• for S•••••••• A•••• M••••••••• L••• (registered 2020-02-05)Mar 29, 2023 · Advisor changed firm · 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
- Business phone
- 651-444-1116reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 952-322-7487reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/starcapitalinc/?viewAsMember=truereportedpublic record, Form ADV, Sep 18, 2026
- Website
- starcapitalinvestments.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 651-444-1116reportedpublic record, Form ADV, Aug 31, 2026
- Contact form
- starcapitalinvestments.com/contact-usreportedpublished by the firm, firm site, Sep 17, 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
- $28.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026