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
P•••• F••••••••
Legal name P•••• F••••••••• L••
Latest filing Feb 9, 2026
First filing on the tape Apr 30, 2018 · 14 filings
SEC status approved since May 30, 2018
RAUM
$498M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$491M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$124M
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$498M as of Feb 9, 2026
Mar 2, 2019$142M then
HNW client RAUM$396M as of Feb 9, 2026
Mar 2, 2019$85.0M then
State-registered IARs (5.B.3)4 as of Feb 9, 2026
Mar 2, 20192 then
Employees (5.A)8 as of Feb 9, 2026
Mar 2, 20194 then
Private funds: no history
RAUM +25% over the last fiscal year+20% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Feb 9, 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
- RAUM per advisor
- $124MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 99derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $263,204derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.6%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $42.3M, 157 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$396M80%
- Individuals$95.0M19%
- Pension and profit-sharing plans$6.7M1.3%
- Corporations and businesses$2,2070.0%
- Individual clients
- 211reported
- HNW clients
- 183reported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 1,892reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $42.3M for 157 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• D••••• P••••Certified Financial Planner | Arden H•••S, Mn | May 19, 2014 | 12 y | 1 |
| J••••• J•••••• G••••••Certified Financial Planner | Arden H•••S, Mn | Jul 28, 2021 | 14 y | 0 |
| A••• E•••••••• L•••Certified Financial Planner | Arden H•••S, Mn | Jun 21, 2023 | 10 y | 0 |
| R•••••• E••••• H•••Certified Financial Planner | Arden H•••S, Mn | Feb 4, 2026 | 27 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- K••• S•••••• M•••• to Q••••• H••• A•••••••Apr 20, 2017 · RIA to RIA
Joined, latest
- R•••••• E••••• H••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Feb 4, 2026 · Wirehouse to independent RIA
- J••••• D••••• P•••• from E•••••••• I••••••••May 19, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••• J•••• M•••••• · Membercontrolsince 05/2014 · owns 25% to 50%
- P••••• J•••••• D••••• · Chief Compliance Officer/Membercontrolsince 05/2014 · owns 50% to 75%
- G••••••• J•••••• J•••••• · Membersince 04/2024 · owns 5% to 10%
- P••••• D•••••• C•••••• · Membersince 05/2014 · owns 5% to 10%
Related persons
Schedule D 7.A
- P•••• • P••••• P•insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Arden H•••S, Mn · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,750 to 1,892Feb 20, 2025 to Feb 9, 2026
- Advisory employees · 3 to 4Feb 20, 2025 to Feb 9, 2026
- HNW clients · 148 to 183Feb 20, 2025 to Feb 9, 2026
- Individual clients · 225 to 211Feb 20, 2025 to Feb 9, 2026
- Assets in custody · $36.9M to $42.3MFeb 20, 2025 to Feb 9, 2026
- Employees · 6 to 8Feb 20, 2025 to Feb 9, 2026
- Financial planning clients · 11-25 to 1-10Feb 20, 2025 to Feb 9, 2026
- Discretionary RAUM · $400M to $498MFeb 20, 2025 to Feb 9, 2026
- HNW RAUM · $292M to $396MFeb 20, 2025 to Feb 9, 2026
- Individual RAUM · $103M to $95.0MFeb 20, 2025 to Feb 9, 2026
- Pension RAUM · $5.0M to $6.7MFeb 20, 2025 to Feb 9, 2026
- RAUM · $400M to $498MFeb 20, 2025 to Feb 9, 2026
- Accounts · 1,603 to 1,750Apr 30, 2024 to Feb 20, 2025
- HNW clients · 138 to 148Apr 30, 2024 to Feb 20, 2025
- Individual clients · 201 to 225Apr 30, 2024 to Feb 20, 2025
- Assets in custody · $33.6M to $36.9MApr 30, 2024 to Feb 20, 2025
- Financial planning clients · 1-10 to 11-25Apr 30, 2024 to Feb 20, 2025
- Discretionary RAUM · $340M to $400MApr 30, 2024 to Feb 20, 2025
- HNW RAUM · $252M to $292MApr 30, 2024 to Feb 20, 2025
- Individual RAUM · $84.4M to $103MApr 30, 2024 to Feb 20, 2025
- Pension RAUM · $4.2M to $5.0MApr 30, 2024 to Feb 20, 2025
- RAUM · $340M to $400MApr 30, 2024 to Feb 20, 2025
- Accounts · 1,455 to 1,603Feb 22, 2023 to Mar 19, 2024
- HNW clients · 117 to 138Feb 22, 2023 to Mar 19, 2024
- Individual clients · 184 to 201Feb 22, 2023 to Mar 19, 2024
- Assets in custody · $29.9M to $33.6MFeb 22, 2023 to Mar 19, 2024
- Employees · 5 to 6Feb 22, 2023 to Mar 19, 2024
- State-registered IARs · 3 to 4Feb 22, 2023 to Mar 19, 2024
- Discretionary RAUM · $285M to $340MFeb 22, 2023 to Mar 19, 2024
- HNW RAUM · $201M to $252MFeb 22, 2023 to Mar 19, 2024
- Individual RAUM · $80.4M to $84.4MFeb 22, 2023 to Mar 19, 2024
- Pension RAUM · $3.5M to $4.2MFeb 22, 2023 to Mar 19, 2024
- RAUM · $285M to $340MFeb 22, 2023 to Mar 19, 2024
- Accounts · 1,272 to 1,455Mar 18, 2022 to Feb 22, 2023
- Corporate clients · 1.0 to unsetMar 18, 2022 to Feb 22, 2023
- HNW clients · 98 to 117Mar 18, 2022 to Feb 22, 2023
- Individual clients · 176 to 184Mar 18, 2022 to Feb 22, 2023
- Pension plan clients · 3.0 to unsetMar 18, 2022 to Feb 22, 2023
- Assets in custody · $275M to $29.9MMar 18, 2022 to Feb 22, 2023
- Employees · 6 to 5Mar 18, 2022 to Feb 22, 2023
Signals
1 dated events
- P•••• F•••••••• filed its initial SEC registration (Form ADV)Apr 30, 2018 · 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
- Business phone
- 651-287-3712reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- p•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 651-287-3712reportedpublic record, Form ADV, Feb 9, 2026
- Contact form
- p•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- p•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $124Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026