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•••••••• L••
Latest filing Mar 20, 2026
First filing on the tape Aug 20, 2014 · 12 filings
SEC status approved since Apr 12, 2021
RAUM
$135M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
88%
$119M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$67.5M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$135M as of Mar 20, 2026
Feb 20, 2015$60.0M then
HNW client RAUM$87.3M as of Mar 20, 2026
Mar 3, 2022$78.4M then
State-registered IARs (5.B.3)1 as of Mar 20, 2026
Feb 20, 20151 then
Employees (5.A)3 as of Mar 20, 2026
Feb 20, 20153 then
Private funds: no history
RAUM +4.6% over the last fiscal year+5.7% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 20, 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
- $67.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 54derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $592,432derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.9%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$87.3M65%
- Individuals$32.2M24%
- Charitable organizations$15.6M12%
- Individual clients
- 72reported
- HNW clients
- 36reported
- Pension plan clients
- n/areported
- Charitable clients
- 3reported
- Accounts
- 228reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.88 fund_share=0.0 institutional_share=0.12 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| H••••• E•••• P•••••Certified Financial Planner | Bloomington, Mn | Sep 25, 2014 | 34 y | 0 |
| T•••• J••••• T••••••Certified Financial Planner | Bloomington, Mn | Feb 20, 2015 | 21 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••• H•••••• E•••• · Managing Member & Chief Compliance Officercontrolsince 08/2014 · owns 75% or more
- M••••• J•••••• S•••• · Minority Ownersince 04/2024 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Bloomington, Mn · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 222 to 228Mar 12, 2025 to Mar 20, 2026
- HNW clients · 39 to 36Mar 12, 2025 to Mar 20, 2026
- Individual clients · 67 to 72Mar 12, 2025 to Mar 20, 2026
- Discretionary RAUM · $129M to $135MMar 12, 2025 to Mar 20, 2026
- HNW RAUM · $89.6M to $87.3MMar 12, 2025 to Mar 20, 2026
- Individual RAUM · $26.3M to $32.2MMar 12, 2025 to Mar 20, 2026
- RAUM · $129M to $135MMar 12, 2025 to Mar 20, 2026
- Accounts · 216 to 222Apr 10, 2024 to Mar 12, 2025
- HNW clients · 33 to 39Apr 10, 2024 to Mar 12, 2025
- Individual clients · 72 to 67Apr 10, 2024 to Mar 12, 2025
- Financial planning clients · 0 to 0Apr 10, 2024 to Mar 12, 2025
- Discretionary RAUM · $115M to $129MApr 10, 2024 to Mar 12, 2025
- HNW RAUM · $74.9M to $89.6MApr 10, 2024 to Mar 12, 2025
- Individual RAUM · $28.3M to $26.3MApr 10, 2024 to Mar 12, 2025
- RAUM · $115M to $129MApr 10, 2024 to Mar 12, 2025
- Accounts · 223 to 216Mar 15, 2023 to Mar 6, 2024
- Charity clients · 4 to 3Mar 15, 2023 to Mar 6, 2024
- HNW clients · 34 to 33Mar 15, 2023 to Mar 6, 2024
- Discretionary RAUM · $114M to $115MMar 15, 2023 to Mar 6, 2024
- HNW RAUM · $74.0M to $74.9MMar 15, 2023 to Mar 6, 2024
- Individual RAUM · $25.8M to $28.3MMar 15, 2023 to Mar 6, 2024
- RAUM · $114M to $115MMar 15, 2023 to Mar 6, 2024
- Accounts · 222 to 223Mar 3, 2022 to Mar 15, 2023
- Advisory activities · 5 to 3Mar 3, 2022 to Mar 15, 2023
- HNW clients · 35 to 34Mar 3, 2022 to Mar 15, 2023
- Individual clients · 73 to 72Mar 3, 2022 to Mar 15, 2023
- Discretionary RAUM · $122M to $114MMar 3, 2022 to Mar 15, 2023
- HNW RAUM · $78.4M to $74.0MMar 3, 2022 to Mar 15, 2023
- Individual RAUM · $27.9M to $25.8MMar 3, 2022 to Mar 15, 2023
- RAUM · $122M to $114MMar 3, 2022 to Mar 15, 2023
- Accounts · 216 to 222Mar 11, 2021 to Mar 3, 2022
- Charity clients · unset to 4.0Mar 11, 2021 to Mar 3, 2022
- Individual clients · 71 to 73Mar 11, 2021 to Mar 3, 2022
- Discretionary RAUM · $117M to $122MMar 11, 2021 to Mar 3, 2022
- HNW RAUM · $74.3M to $78.4MMar 11, 2021 to Mar 3, 2022
- Individual RAUM · $27.2M to $27.9MMar 11, 2021 to Mar 3, 2022
- RAUM · $117M to $122MMar 11, 2021 to Mar 3, 2022
- Accounts · 100 to 216Feb 20, 2015 to Mar 11, 2021
- HNW clients · unset to 35.0Feb 20, 2015 to Mar 11, 2021
- Individual clients · unset to 71.0Feb 20, 2015 to Mar 11, 2021
Signals
1 dated events
- P•• F•••••••• L•• filed its initial SEC registration (Form ADV)Aug 20, 2014 · 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
- 844-413-1691reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 952-777-3929reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 952-777-3955reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.p•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 952-777-3955reportedpublic record, Form ADV, Mar 20, 2026
- Contact form
- p•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- p•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $67.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026