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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Former SEC-registered adviser

T•• J••••••• G••••• L••

Former SEC-registered adviserMinneapolis, MinnesotaCRD 282660SEC 801-107711IAPD
Latest filing Mar 22, 2019
First filing on the tape Apr 13, 2016 · 12 filings
RAUM
$413M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
97%
$400M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
4 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$413M as of Mar 22, 2019
Mar 29, 2017$355M then
HNW client RAUM$35.0M as of Mar 22, 2019
Mar 29, 2018$251M then
State-registered IARs (5.B.3)4 as of Mar 22, 2019
Mar 29, 20174 then
Employees (5.A)10 as of Mar 22, 2019
Mar 29, 201710 then
Private funds: no history
RAUM -3.0% over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Mar 22, 2019; every figure names its basis
RAUM per advisor
$103MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
60derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$255,474derivedHNW RAUM over HNW clients
Average account
$404,110derivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
3.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-3.0%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+21%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
Custody
$61.9M, 89 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 an insurance broker or agent (6.A.6)
  • 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
  • Individuals$365M88%
  • High-net-worth individuals$35.0M8.5%
  • Pension and profit-sharing plans$13.0M3.1%
Individual clients
101reported
HNW clients
137reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,022reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
$61.9M for 89 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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • J•••••••• B••••••• M•••• · Managing Member / Ccocontrol
    since 04/2016 · owns 75% or more
  • J•••••••• M•••••• J•••• · Chief Operating Officer
    since 04/2017 · owns less than 5%
  • J•••••••• T•• W••••• · Vp Of Sales And Marketing
    since 04/2017 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 701 to 1,022
    Apr 19, 2018 to Mar 22, 2019
  • HNW clients · 116 to 137
    Apr 19, 2018 to Mar 22, 2019
  • Individual clients · 81 to 101
    Apr 19, 2018 to Mar 22, 2019
  • Assets in custody · unset to 61876756.0
    Apr 19, 2018 to Mar 22, 2019
  • Custody of client assets · false to true
    Apr 19, 2018 to Mar 22, 2019
  • Employees · 9 to 10
    Apr 19, 2018 to Mar 22, 2019
  • Discretionary RAUM · $408M to $403M
    Apr 19, 2018 to Mar 22, 2019
  • HNW RAUM · $251M to $35.0M
    Apr 19, 2018 to Mar 22, 2019
  • Individual RAUM · $175M to $365M
    Apr 19, 2018 to Mar 22, 2019
  • Non-discretionary RAUM · $17.4M to $10.0M
    Apr 19, 2018 to Mar 22, 2019
  • Pension RAUM · unset to 13000000.0
    Apr 19, 2018 to Mar 22, 2019
  • RAUM · $426M to $413M
    Apr 19, 2018 to Mar 22, 2019
  • Financial planning clients · 0 to 26-50
    Mar 29, 2018 to Apr 5, 2018
  • Accounts · 708 to 701
    May 4, 2017 to Mar 29, 2018
  • HNW clients · unset to 116.0
    May 4, 2017 to Mar 29, 2018
  • Individual clients · unset to 81.0
    May 4, 2017 to Mar 29, 2018
  • Employees · 10 to 9
    May 4, 2017 to Mar 29, 2018
  • Other offices · unset to 0.0
    May 4, 2017 to Mar 29, 2018
  • Discretionary RAUM · $355M to $408M
    May 4, 2017 to Mar 29, 2018
  • HNW RAUM · unset to 251200000.0
    May 4, 2017 to Mar 29, 2018
  • Individual RAUM · unset to 174600000.0
    May 4, 2017 to Mar 29, 2018
  • Non-discretionary RAUM · $0 to $17.4M
    May 4, 2017 to Mar 29, 2018
  • RAUM · $355M to $426M
    May 4, 2017 to Mar 29, 2018
  • Accounts · 665 to 708
    Oct 17, 2016 to Mar 29, 2017
  • Advisory employees · 3 to 4
    Oct 17, 2016 to Mar 29, 2017
  • Discretionary RAUM · $317M to $355M
    Oct 17, 2016 to Mar 29, 2017
  • RAUM · $317M to $355M
    Oct 17, 2016 to Mar 29, 2017
  • Accounts · 0 to 665
    Jul 12, 2016 to Aug 19, 2016
  • Advisory employees · 1 to 3
    Jul 12, 2016 to Aug 19, 2016
  • State-registered IARs · 1 to 4
    Jul 12, 2016 to Aug 19, 2016
  • Discretionary RAUM · $0 to $317M
    Jul 12, 2016 to Aug 19, 2016
  • RAUM · $0 to $317M
    Jul 12, 2016 to Aug 19, 2016
Signals
1 dated events
  • T•• J••••••• G••••• L•• filed its initial SEC registration (Form ADV)
    Apr 13, 2016 · 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