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

Personal Wealth Partners LLC

Former SEC-registered adviserBloomington, MinnesotaCRD 172055SEC 801-80198IAPD
Latest filing Aug 19, 2022
First filing on the tape Aug 7, 2014 · 29 filings
RAUM
$631M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$617M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
16
9 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$631M as of Feb 1, 2022
Mar 13, 2015$251M then
HNW client RAUM$455M as of Feb 1, 2022
Mar 28, 2018$281M then
State-registered IARs (5.B.3)9 as of Feb 1, 2022
Mar 13, 20152 then
Employees (5.A)16 as of Feb 1, 2022
Mar 13, 20159 then
Private funds: no history
RAUM +7.5% over the last fiscal year+8.9% a year over threeIARs 9 to 9
Practice profile
derived from the filing of Aug 19, 2022; every figure names its basis
RAUM per advisor
$70.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
87derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.1MderivedHNW RAUM over HNW clients
Average account
$339,977derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
2.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
3.0derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+7.5%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-7.3%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Custody
$279M, 336 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$455M72%
  • Individuals$162M26%
  • Pension and profit-sharing plans$9.2M1.5%
  • Charitable organizations$5.0M0.8%
Individual clients
570reported
HNW clients
215reported
Pension plan clients
2reported
Charitable clients
1reported
Accounts
1,857reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$279M for 336 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Edward Daniel Steichen · Managing Member & Chief Compliance Officercontrol
      since 06/2014 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • River Falls, WI2 employees
    • Williston, ND
    What changed
    consecutive filings, newest first
    • Accounts · 1,868 to 1,857
      Dec 7, 2021 to Feb 1, 2022
    • Advisory employees · 10 to 9
      Dec 7, 2021 to Feb 1, 2022
    • BD registered reps · 11 to 9
      Dec 7, 2021 to Feb 1, 2022
    • HNW clients · 193 to 215
      Dec 7, 2021 to Feb 1, 2022
    • Individual clients · 654 to 570
      Dec 7, 2021 to Feb 1, 2022
    • Assets in custody · $269M to $279M
      Dec 7, 2021 to Feb 1, 2022
    • Employees · 19 to 16
      Dec 7, 2021 to Feb 1, 2022
    • Discretionary RAUM · $587M to $631M
      Dec 7, 2021 to Feb 1, 2022
    • HNW RAUM · $400M to $455M
      Dec 7, 2021 to Feb 1, 2022
    • Individual RAUM · $176M to $162M
      Dec 7, 2021 to Feb 1, 2022
    • Pension RAUM · $6.3M to $9.2M
      Dec 7, 2021 to Feb 1, 2022
    • RAUM · $587M to $631M
      Dec 7, 2021 to Feb 1, 2022
    • Accounts · 1,837 to 1,868
      Jan 5, 2021 to Mar 9, 2021
    • Advisory employees · 7 to 10
      Jan 5, 2021 to Mar 9, 2021
    • HNW clients · 200 to 193
      Jan 5, 2021 to Mar 9, 2021
    • Individual clients · 617 to 654
      Jan 5, 2021 to Mar 9, 2021
    • Pension plan clients · 16 to 2
      Jan 5, 2021 to Mar 9, 2021
    • Assets in custody · $221M to $269M
      Jan 5, 2021 to Mar 9, 2021
    • Discretionary RAUM · $571M to $587M
      Jan 5, 2021 to Mar 9, 2021
    • HNW RAUM · $375M to $400M
      Jan 5, 2021 to Mar 9, 2021
    • Individual RAUM · $173M to $176M
      Jan 5, 2021 to Mar 9, 2021
    • Pension RAUM · $17.7M to $6.3M
      Jan 5, 2021 to Mar 9, 2021
    • RAUM · $571M to $587M
      Jan 5, 2021 to Mar 9, 2021
    • Related insurance company · true to false
      Jan 5, 2021 to Mar 9, 2021
    • Advisory employees · 19 to 7
      Jun 29, 2020 to Sep 23, 2020
    • BD registered reps · 13 to 11
      Jun 29, 2020 to Sep 23, 2020
    • Assets in custody · unset to 220946243.0
      Jun 29, 2020 to Sep 23, 2020
    • Custody of client assets · false to true
      Jun 29, 2020 to Sep 23, 2020
    • State-registered IARs · 11 to 9
      Jun 29, 2020 to Sep 23, 2020
    • Accounts · 1,688 to 1,837
      Jan 15, 2020 to Mar 27, 2020
    • Advisory employees · 10 to 19
      Jan 15, 2020 to Mar 27, 2020
    • BD registered reps · 8 to 13
      Jan 15, 2020 to Mar 27, 2020
    • Charity clients · unset to 1.0
      Jan 15, 2020 to Mar 27, 2020
    • HNW clients · 156 to 200
      Jan 15, 2020 to Mar 27, 2020
    • Individual clients · 600 to 617
      Jan 15, 2020 to Mar 27, 2020
    • Pension plan clients · 19 to 16
      Jan 15, 2020 to Mar 27, 2020
    • Employees · 10 to 19
      Jan 15, 2020 to Mar 27, 2020
    • State-registered IARs · 9 to 11
      Jan 15, 2020 to Mar 27, 2020
    • Discretionary RAUM · $489M to $571M
      Jan 15, 2020 to Mar 27, 2020
    • HNW RAUM · $273M to $375M
      Jan 15, 2020 to Mar 27, 2020
    Signals
    17 dated events
    • 3 advisors left Personal Wealth Partners LLC (Bloomington, MN) for CX Institutional, LLC on the same day
      Oct 25, 2022 · Team lift-out · derived
    • Brian Anthony James left Personal Wealth Partners Llc for Pnc Wealth Management (registered 2024-03-06)
      Oct 25, 2022 · Advisor changed firm · fact
    • William Gregory Chrisman left Personal Wealth Partners Llc for Miller Private Wealth Llc (registered 2022-12-05)
      Oct 25, 2022 · Advisor changed firm · fact
    • Ruth Miller left Personal Wealth Partners Llc for Cx Institutional, Llc (registered 2022-06-20)
      Oct 25, 2022 · Advisor changed firm · fact
    • Trevor Hopkins left Personal Wealth Partners Llc for Cx Institutional, Llc (registered 2022-06-22)
      Oct 25, 2022 · Advisor changed firm · fact
    • Susan Gay Isaacson left Personal Wealth Partners Llc for Cx Institutional, Llc (registered 2022-06-20)
      Oct 25, 2022 · Advisor changed firm · fact
    • Brian David Neal no longer registered at Personal Wealth Partners Llc; no later IA registration on IAPD
      Oct 25, 2022 · Advisor departure · fact
    • Laura Morton left Personal Wealth Partners Llc for Kestra Advisory Services, Llc (registered 2025-08-07)
      Oct 25, 2022 · Advisor changed firm · fact
    • Daniel Edward Steichen left Personal Wealth Partners Llc for Lpl Financial Llc (registered 2017-05-26)
      Oct 25, 2022 · Advisor changed firm · fact
    • Benjamin Keith Streeter left Personal Wealth Partners Llc for Sym Financial Advisors (registered 2025-06-06)
      Oct 25, 2022 · Advisor changed firm · fact
    • Thomas Andrew Knippa no longer registered at Personal Wealth Partners Llc; no later IA registration on IAPD
      Oct 25, 2022 · Advisor departure · fact
    • Michael Paul Poissant left Personal Wealth Partners Llc for Concord Wealth Partners (registered 2022-11-29)
      May 20, 2022 · Advisor changed firm · fact
    • Marissa Mccleary Klaers left Personal Wealth Partners Llc for Concord Wealth Partners (registered 2022-11-29)
      May 20, 2022 · Advisor changed firm · fact
    • 2 advisors left Personal Wealth Partners LLC (Bloomington, MN) for Concord Wealth Partners on the same day
      May 20, 2022 · Team lift-out · derived
    • Steven Joseph Schoeder left Personal Wealth Partners Llc for United Planners' Financial Services Of America A Limited Partner (registered 2022-05-23)
      May 18, 2022 · Advisor changed firm · fact
    • Matthew James Quinn left Personal Wealth Partners Llc for Great Valley Advisor Group, Llc (registered 2023-04-24)
      May 18, 2022 · Advisor changed firm · fact
    • Personal Wealth Partners Llc filed its initial SEC registration (Form ADV)
      Aug 7, 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.
    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