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

Cri Securities, LLC

Former SEC-registered adviserSt.Paul, MinnesotaCRD 22589SEC 801-62434IAPD
Latest filing Oct 15, 2021
First filing on the tape Mar 29, 2012 · 43 filings
RAUM
$1.7B
reported, Item 5.F
Discretionary
50%
of RAUM
Private clients
96%
$1.6B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
269
188 advisory (5.B.1)
Offices
38
beyond the principal office
Private funds
0
reported on Schedule D
History
43 filings and snapshots on the tape
RAUM$1.7B as of Mar 1, 2021
Mar 29, 2012$515M then
HNW client RAUM$876M as of Mar 1, 2021
Mar 26, 2018$616M then
State-registered IARs (5.B.3)188 as of Mar 1, 2021
Mar 29, 20120 then
Employees (5.A)269 as of Mar 1, 2021
Mar 27, 2013245 then
Private funds: no history
RAUM +22% over the last fiscal year+7.1% a year over threeIARs 183 to 188offices 35 to 38
Practice profile
derived from the filing of Oct 15, 2021; every figure names its basis
RAUM per advisor
$8.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
29derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$627,403derivedHNW RAUM over HNW clients
Average account
$370,964derivedRAUM over accounts (5.F.2.f)
Discretionary
50%derivedof RAUM
Institutional
1.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.4derivedItem 5.A over advisors
Advisors per office
4.8derived39 offices incl. principal (1.F.5)
RAUM growth, one year
+22%derivedbetween the last two annual amendments
Advisor growth, one year
+2.7%derivedItem 5.B.3 between annual amendments
Client growth, one year
+9.4%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, educational seminarsreportedItem 5.G
Financial planning clients
500reportedItem 5.H
Wrap fee program
$1.7BreportedItem 5.I
Custody
$264M, 564 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
  • is a broker-dealer (6.A.1)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • 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$876M52%
  • Individuals$740M44%
  • Corporations and businesses$31.3M1.9%
  • Pension and profit-sharing plans$26.4M1.6%
  • Charitable organizations$1.3M0.1%
Individual clients
4,014reported
HNW clients
1,397reported
Pension plan clients
26reported
Charitable clients
5reported
Accounts
4,517reported
Financial planning clients
500reported
Wrap fee programs
$1.7B sponsored, $0 managedreported
Custody of client assets
$264M for 564 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
  • Kimberly Kay Carpenter · Senior Vice President & Chief Compliance Officer & Anti-Money Laundering Compliance Officercontrol
    since 06/2017 · owns less than 5%
  • George Ignatius Connolly · President, Chief Executive Officer & Member Of Board Of Governorscontrol
    since 09/1999 · owns less than 5%
  • Edward George Deutschlander · Member Of Board Of Governorscontrol
    since 04/2009 · owns less than 5%
  • Kristin Mary Ferguson · Vice President, Treasurer, Chief Financial Officer & Finopcontrol
    since 04/2018 · owns less than 5%
  • Anthony Joseph Martins · Member Of Board Of Governorscontrol
    since 04/2009 · owns less than 5%
  • Phillip Croce Richards · Chairman Of The Board Of Governorscontrol
    since 03/2010 · owns less than 5%
  • David Nmn Vasos · Sr Vice President, Member Of The Board Of Governorscontrol
    since 09/1999 · owns less than 5%
  • Kjirsten Gareth Zellmer · Member Of Board Of Governors, Vice President, Principal Operations Officer - Finopcontrol
    since 09/2018 · owns less than 5%
  • Keri Sue Obrien · Secretary
    since 06/2017 · owns less than 5%
Entity owners
  • Minnesota Life Insurance Company · Shareholder
    direct · owns 50% to 75%
  • Phillip C. Richards And Susan B. Richards Joint Living Trust · Shareholder
    direct · owns 50% to 75%
  • Minnesota Mutual Companies, Inc. · Shareholder
    indirect · owns 75% or more of Securian Holding Company
  • Securian Financial Group, Inc. · Shareholder
    indirect · owns 75% or more of Minnesota Life Insurance Company
  • Securian Holding Company · Shareholder
    indirect · owns 75% or more of Securian Financial Group, Inc.
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
  • Minneapolis, MN57 employees
  • Minnetonka, MN16 employees
  • San Diego, CA14 employees
  • Madison, WI12 employees
  • Austin, TX6 employees
  • Austin, TX6 employees
  • St Cloud, MN5 employees
  • Scottsdale, AZ5 employees
  • Houston, TX4 employees
  • Woodbury, MN4 employees
  • Iowa City, IA3 employees
  • Denver, CO3 employees
  • Portland, OR3 employees
  • Dallas, TX3 employees
  • Rogers, MN3 employees
  • St Paul, MN2 employees
  • Chicago, IL2 employees
  • Bayport, MN2 employees
  • Decatur, GA2 employees
  • St Louis, MO2 employees
  • Philadelphia, PA2 employees
  • Dallas, TX2 employees
  • St Paul, MN1 employees
  • Fort Meyers, FL1 employees
  • Seattle, WA1 employees
What changed
consecutive filings, newest first
  • Accounts · 4,132 to 4,517
    Jun 29, 2020 to Mar 1, 2021
  • Advisory employees · 183 to 188
    Jun 29, 2020 to Mar 1, 2021
  • BD registered reps · 153 to 167
    Jun 29, 2020 to Mar 1, 2021
  • Corporate clients · 32 to 40
    Jun 29, 2020 to Mar 1, 2021
  • HNW clients · 964 to 1,397
    Jun 29, 2020 to Mar 1, 2021
  • Individual clients · 3,980 to 4,014
    Jun 29, 2020 to Mar 1, 2021
  • Assets in custody · $229M to $264M
    Jun 29, 2020 to Mar 1, 2021
  • Employees · 262 to 269
    Jun 29, 2020 to Mar 1, 2021
  • Insurance-licensed employees · 183 to 188
    Jun 29, 2020 to Mar 1, 2021
  • State-registered IARs · 183 to 188
    Jun 29, 2020 to Mar 1, 2021
  • Other offices · 35 to 38
    Jun 29, 2020 to Mar 1, 2021
  • Discretionary RAUM · $648M to $835M
    Jun 29, 2020 to Mar 1, 2021
  • HNW RAUM · $688M to $876M
    Jun 29, 2020 to Mar 1, 2021
  • Individual RAUM · $641M to $740M
    Jun 29, 2020 to Mar 1, 2021
  • Non-discretionary RAUM · $724M to $840M
    Jun 29, 2020 to Mar 1, 2021
  • Pension RAUM · $27.6M to $26.4M
    Jun 29, 2020 to Mar 1, 2021
  • RAUM · $1.4B to $1.7B
    Jun 29, 2020 to Mar 1, 2021
  • Wrap assets (sponsor) · $1.4B to $1.7B
    Jun 29, 2020 to Mar 1, 2021
  • Accounts · 4,152 to 4,132
    Nov 18, 2019 to Mar 24, 2020
  • Advisory employees · 180 to 183
    Nov 18, 2019 to Mar 24, 2020
  • BD registered reps · 160 to 153
    Nov 18, 2019 to Mar 24, 2020
  • Charity clients · 4 to 5
    Nov 18, 2019 to Mar 24, 2020
  • Corporate clients · 39 to 32
    Nov 18, 2019 to Mar 24, 2020
  • HNW clients · 806 to 964
    Nov 18, 2019 to Mar 24, 2020
  • Individual clients · 4,328 to 3,980
    Nov 18, 2019 to Mar 24, 2020
  • Pension plan clients · 29 to 26
    Nov 18, 2019 to Mar 24, 2020
  • Assets in custody · $201M to $229M
    Nov 18, 2019 to Mar 24, 2020
  • Employees · 265 to 262
    Nov 18, 2019 to Mar 24, 2020
  • Insurance-licensed employees · 180 to 183
    Nov 18, 2019 to Mar 24, 2020
  • State-registered IARs · 190 to 183
    Nov 18, 2019 to Mar 24, 2020
  • Other offices · 31 to 35
    Nov 18, 2019 to Mar 24, 2020
  • Discretionary RAUM · $496M to $648M
    Nov 18, 2019 to Mar 24, 2020
  • HNW RAUM · $489M to $688M
    Nov 18, 2019 to Mar 24, 2020
  • Individual RAUM · $604M to $641M
    Nov 18, 2019 to Mar 24, 2020
  • Non-discretionary RAUM · $635M to $724M
    Nov 18, 2019 to Mar 24, 2020
  • Pension RAUM · $23.3M to $27.6M
    Nov 18, 2019 to Mar 24, 2020
  • RAUM · $1.1B to $1.4B
    Nov 18, 2019 to Mar 24, 2020
  • Wrap assets (sponsor) · $1.1B to $1.4B
    Nov 18, 2019 to Mar 24, 2020
  • Accounts · 4,310 to 4,152
    Aug 7, 2018 to Mar 27, 2019
  • Advisory employees · 102 to 180
    Aug 7, 2018 to Mar 27, 2019
Signals
3 dated events
  • Peter Gordon Berlute (Member Of The Board Of Governors) no longer on Schedule A of Cri Securities, Llc (listed 2019-03-27, absent 2019-11-18)
    Nov 18, 2019 · Control person left · inference
  • Kristin Mary Ferguson (Vice President, Treasurer, Chief Financial Officer & Finop) appeared on Schedule A of Cri Securities, Llc
    Mar 27, 2019 · Control person joined · fact
  • Cri Securities, Llc reported RAUM $1.4B, up 40% from $970.5M (2018-01-15 to 2018-03-26)
    Mar 26, 2018 · RAUM change · derived
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