DFX Intelligence

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A•••• A•••• M••••••••• I•••

Former SEC-registered adviserFormer SEC adviser· Eagan, Minnesota

Former SEC-registered adviser, based in Eagan, Minnesota, reporting $2.3B of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2020-02-19 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $2.3B
RAUM change, 1 year: +34%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2020-02-19 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 19 Feb 2020, RAUM $1.72B to $2.3B (+33.9%) on the Form ADV filed 19 Feb 2020.

Every filed figure, and the identifiersCRD 286557 · SEC 801-111803 · 8 filingsShow

CRD 286557SEC 801-111803First filing on the tape Sep 5, 2017, latest Feb 19, 2020IAPD

RAUM

$2.3B

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

10 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

8 filings and snapshots on the tape

RAUM +34% over the last fiscal year · the tape starts Sep 5, 2017

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$2.3B as of Feb 19, 2020

Mar 30, 2018$1.3B then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Feb 19, 2020

Mar 30, 20180 then

Employees (5.A)15 as of Feb 19, 2020

Mar 30, 201810 then

Private funds: no history

RAUM +34% over the last fiscal yearIARs 0 to 0

Practice profile

derived from the filing of Feb 19, 2020; every figure names its basis

The rule behind each archetype, and every derived figureShow

RAUM per advisor: unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: unknownderivedHNW RAUM over HNW clients
Average account: $256MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 80%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year: +34%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assets, otherreportedItem 5.E
Advisory activities: portfolio management for businesses and institutions, portfolio management for investment companies, 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)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

80% insurance companies, 15% investment companies, and 1 other client type

The breakdown by client type, and the client counts3 client typesShow

Insurance companies$1.8B80%
Investment companies$352M15%
Corporations and businesses$116M5.0%

Individual clients: 0reported
HNW clients: 0reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 9reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: absent from the latest SEC rosterderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

A••••••••• J•••••• P••••• · Chief Compliance Officer, Treasurercontrol
since 09/2017 · owns less than 5%
C••••••••• A•••••• B••••• · Directorcontrol
since 01/2018 · owns less than 5%
M•••••••• J••• S•••••• · Vice Chaircontrol
since 02/2019 · owns less than 5%
O••••• J•••• E•••• · President And Chief Investment Officer, Chaircontrol
since 01/2018 · owns less than 5%
R•••••• A•••••• M••• · Secretary, Directorcontrol
since 04/2017 · owns less than 5%

Entity owners

A•••• I••••••••• I••• · Parent Corporation
direct · owns 75% or more

Related persons

Schedule D 7.A

B••••• I•••
real estaten
M•• L•••• I•••••••••
real estaten

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 8 to 9
Oct 17, 2019 to Feb 19, 2020
Advisory employees · 7 to 10
Oct 17, 2019 to Feb 19, 2020
Assets in custody · 3439000000.0 to unset
Oct 17, 2019 to Feb 19, 2020
Employees · 12 to 15
Oct 17, 2019 to Feb 19, 2020
Discretionary RAUM · $1.7B to $2.3B
Oct 17, 2019 to Feb 19, 2020

Full history · 27 changes

RAUM · $1.7B to $2.3B
Oct 17, 2019 to Feb 19, 2020
BD registered reps · 0 to 1
Mar 29, 2019 to Oct 17, 2019
Accounts · 6 to 8
Aug 24, 2018 to Mar 29, 2019
Advisory employees · 6 to 7
Aug 24, 2018 to Mar 29, 2019
Advisory activities · 2 to 3
Aug 24, 2018 to Mar 29, 2019
Assets in custody · unset to 3439000000.0
Aug 24, 2018 to Mar 29, 2019
Employees · 10 to 12
Aug 24, 2018 to Mar 29, 2019
Discretionary RAUM · $1.3B to $1.7B
Aug 24, 2018 to Mar 29, 2019
RAUM · $1.3B to $1.7B
Aug 24, 2018 to Mar 29, 2019
Accounts · 4 to 6
Jan 26, 2018 to Mar 30, 2018
Charity clients · unset to 0.0
Jan 26, 2018 to Mar 30, 2018
HNW clients · unset to 0.0
Jan 26, 2018 to Mar 30, 2018
Individual clients · unset to 0.0
Jan 26, 2018 to Mar 30, 2018
Pension plan clients · unset to 0.0
Jan 26, 2018 to Mar 30, 2018
Pooled vehicle clients · unset to 0.0
Jan 26, 2018 to Mar 30, 2018
Employees · 9 to 10
Jan 26, 2018 to Mar 30, 2018
Discretionary RAUM · $942M to $1.3B
Jan 26, 2018 to Mar 30, 2018
RAUM · $942M to $1.3B
Jan 26, 2018 to Mar 30, 2018
Accounts · 0 to 4
Oct 6, 2017 to Jan 26, 2018
Discretionary RAUM · $0 to $942M
Oct 6, 2017 to Jan 26, 2018
RAUM · $0 to $942M
Oct 6, 2017 to Jan 26, 2018
Other offices · unset to 0.0
Sep 5, 2017 to Oct 6, 2017

Signals

9 dated events

••• Locked
Feb 19, 2020 · Control person left · inference
••• Locked
Feb 19, 2020 · RAUM change · derived
••• Locked
Mar 29, 2019 · Control person left · inference
••• Locked
Mar 29, 2019 · Control person left · inference
••• Locked
Mar 29, 2019 · Control person joined · fact

Full timeline · 9 events

••• Locked
Mar 29, 2019 · RAUM change · derived
••• Locked
Mar 29, 2019 · Control person joined · fact
••• Locked
Mar 30, 2018 · RAUM change · derived
••• Locked
Sep 5, 2017 · 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

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026