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
W••••• P••• O• T•• D••••••• I•••
Latest filing Mar 9, 2026
First filing on the tape Mar 9, 2026 · 1 filings
RAUM
$79.3M
reported, Item 5.F
Discretionary
31%
of RAUM
Private clients
31%
$24.3M individuals and HNW
Advisors
n/a
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
0 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Mar 9, 2026; every figure names its basis
- RAUM per advisor
- $19.8MderivedRAUM 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
- $587,098derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 31%derivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$55.0M69%
- Individuals$24.3M31%
- Individual clients
- 128reported
- HNW clients
- n/areported
- Pension plan clients
- 7reported
- Charitable clients
- n/areported
- Accounts
- 135reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- on the IAPD state feed, not SEC-registeredderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L•••• D•••••• H••••• | Aberdeen, Sd | Apr 26, 2019 | 28 y | 2 |
| T••••• C•••••• B•••••• | Aberdeen, Sd | Jan 27, 2026 | 12 y | 1 |
Advisor movement
2 left, 1 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 days2 left over 36 months
Left, latest
- A•••• Q•••• A•••••• to S•••••••• W••••• P•••••••• L••Jun 2, 2026 · Other
- N•••• A•••• A••••••• to S•••••••• W••••• P•••••••• L••Feb 19, 2026 · Other
- R•••• K•••• B••••• to I•••••••• A•••••••• L••Jan 29, 2021 · Other
Joined, latest
- T••••• C•••••• B•••••• from O•••••••• I••••••••• L••Jan 27, 2026 · Other
- R•••• K•••• B••••• from C•••••• F•••••••• S•••••••• I•••Jun 7, 2019 · RIA to a state-registered adviser
- L•••• D•••••• H••••• from C•••••• F•••••••• S•••••••• I•••Mar 20, 2017 · RIA to a state-registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
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 |
|---|---|---|---|---|---|
| Aberdeen, Sd · principal | 2 | 1 | 1 | ||
| New Rockford, Nd | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
2 dated events
- A•••• Q•••• A•••••• left W••••• P••• O• T•• D••••••• I••• for S•••••••• W••••• P•••••••• L•• (registered 2026-06-10)Jun 2, 2026 · Advisor changed firm · fact
- N•••• A•••• A••••••• left W••••• P••• O• T•• D••••••• I••• for S•••••••• W••••• P•••••••• L•• (registered 2026-05-26)Feb 19, 2026 · Advisor changed firm · 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
- Website
- wpdakotas.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 605-622-7801reportedpublic record, Form ADV, Mar 9, 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
- STATE REGISTEREDderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 15, 2026