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
Y•• W••••• M•••••••••
Legal name S• C•••••• W••••• A•••••••• L••
Latest filing Aug 5, 2026
First filing on the tape Aug 24, 2023 · 11 filings
SEC status approved since Sep 21, 2023
RAUM
$127M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$127M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$42.5M
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$127M as of Aug 5, 2026
Feb 22, 2024$113M then
HNW client RAUM$105M as of Aug 5, 2026
Feb 22, 2024$87.5M then
State-registered IARs (5.B.3)3 as of Aug 5, 2026
Feb 22, 20243 then
Employees (5.A)7 as of Aug 5, 2026
Feb 22, 20247 then
Private funds: no history
RAUM +9.2% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Aug 5, 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
- $42.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 33derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $426,310derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 0.8derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.3%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $2.1M, 2 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$105M82%
- Individuals$22.6M18%
- Individual clients
- 64reported
- HNW clients
- 36reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 299reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.1M for 2 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• E••••• S••••••••• | Mahtomedi, Mn | Jan 16, 2015 | 36 y | 1 |
| J•••• M•••••• H••••• | Mahtomedi, Mn | Feb 22, 2016 | 10 y | 0 |
| M•••••• A••••• H••••• | Mahtomedi, Mn | Dec 20, 2024 | 10 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 headcount2 left over 36 months
Left, latest
- S•••• L••••• J•••••• to G•••• V••••• A•••••• G••••• L••Oct 10, 2024 · RIA to RIA
- B••••••• J••••• J•••••• to G•••• V••••• A•••••• G••••• L••Sep 29, 2023 · RIA to RIA
Joined, latest
- R••••• E••••• S••••••••• from V•• A••••••• S•••••••Jan 16, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J••••••• S••••• L••••• · Presidentcontrolsince 02/2022 · owns less than 5%
- S••••••••• R•••••• E••••• · Chief Executive Officercontrolsince 02/2022 · owns 75% or more
- S••••••••• R•••••• J• · Chief Operating Officer, Chief Compliance Officercontrolsince 02/2022 · owns less than 5%
- S••••••••• T•••••• R• · Chief Investment Officercontrolsince 07/2014 · 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 |
|---|---|---|---|---|---|
| Mahtomedi, Mn · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 277 to 299Jul 24, 2025 to Feb 19, 2026
- HNW clients · 34 to 36Jul 24, 2025 to Feb 19, 2026
- Individual clients · 61 to 64Jul 24, 2025 to Feb 19, 2026
- Assets in custody · $2.5M to $2.1MJul 24, 2025 to Feb 19, 2026
- Discretionary RAUM · $117M to $127MJul 24, 2025 to Feb 19, 2026
- HNW RAUM · $95.8M to $105MJul 24, 2025 to Feb 19, 2026
- Individual RAUM · $21.0M to $22.6MJul 24, 2025 to Feb 19, 2026
- RAUM · $117M to $127MJul 24, 2025 to Feb 19, 2026
- Financial planning clients · 0 to 0May 15, 2025 to Jul 24, 2025
- Accounts · 352 to 277Jul 8, 2024 to Mar 18, 2025
- HNW clients · 39 to 34Jul 8, 2024 to Mar 18, 2025
- Individual clients · 83 to 61Jul 8, 2024 to Mar 18, 2025
- Assets in custody · unset to 2463775.0Jul 8, 2024 to Mar 18, 2025
- Custody of client assets · false to trueJul 8, 2024 to Mar 18, 2025
- Other offices · 2 to 3Jul 8, 2024 to Mar 18, 2025
- Discretionary RAUM · $113M to $117MJul 8, 2024 to Mar 18, 2025
- HNW RAUM · $87.5M to $95.8MJul 8, 2024 to Mar 18, 2025
- Individual RAUM · $25.9M to $21.0MJul 8, 2024 to Mar 18, 2025
- RAUM · $113M to $117MJul 8, 2024 to Mar 18, 2025
- Other offices · 1 to 2Feb 26, 2024 to Jul 8, 2024
- Accounts · 347 to 352Oct 19, 2023 to Feb 22, 2024
- Advisory employees · 4 to 3Oct 19, 2023 to Feb 22, 2024
- Individual clients · 79 to 83Oct 19, 2023 to Feb 22, 2024
- Employees · 8 to 7Oct 19, 2023 to Feb 22, 2024
- State-registered IARs · 4 to 3Oct 19, 2023 to Feb 22, 2024
- Other offices · 2 to 1Oct 19, 2023 to Feb 22, 2024
- Discretionary RAUM · $106M to $113MOct 19, 2023 to Feb 22, 2024
- HNW RAUM · $81.4M to $87.5MOct 19, 2023 to Feb 22, 2024
- Individual RAUM · $24.3M to $25.9MOct 19, 2023 to Feb 22, 2024
- RAUM · $106M to $113MOct 19, 2023 to Feb 22, 2024
- Other offices · 0 to 2Aug 24, 2023 to Oct 19, 2023
Signals
3 dated events
- S•••• L••••• J•••••• left Y•• W••••• M••••••••• for G•••• V••••• A•••••• G••••• L•• (registered 2024-10-01)Oct 10, 2024 · a•••••• firm change · fact
- B••••••• J••••• J•••••• left Y•• W••••• M••••••••• for G•••• V••••• A•••••• G••••• L•• (registered 2025-09-10)Sep 29, 2023 · a•••••• firm change · fact
- Y•• W••••• M••••••••• filed its initial SEC registration (Form ADV)Aug 24, 2023 · 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
- 651-426-5854reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- yeswealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (651) 426-5854reportedpublic record, Form ADV, Aug 5, 2026
- Contact form
- yeswealth.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- yeswealth.com/teamreportedpublished 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
- $42.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026