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

M•• W••••• A•••••••• L••

Independent wealth managerPlymouth, MinnesotaCRD 287705SEC 801-132301websiteIAPD
Latest filing May 22, 2026
First filing on the tape Apr 9, 2025 · 3 filings
SEC status approved since Mar 31, 2025
RAUM
$140M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$140M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$140M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$140M as of May 22, 2026
Apr 9, 2025$119M then
HNW client RAUM$96.7M as of May 22, 2026
Apr 9, 2025$82.1M then
State-registered IARs (5.B.3)1 as of May 22, 2026
Apr 9, 20251 then
Employees (5.A)1 as of May 22, 2026
Apr 9, 20251 then
Private funds: no history
RAUM +18% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of May 22, 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
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
  • Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
RAUM per advisor
$140MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
202derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.4MderivedHNW RAUM over HNW clients
Average account
$385,404derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+9.1%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+1.5%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, pension consultingreportedItem 5.G
Wrap fee program
$140MreportedItem 5.I
Custody
$8.0M, 1 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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$96.7M69%
  • Individuals$43.6M31%
Individual clients
162reported
HNW clients
40reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
364reported
Financial planning clients
reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$8.0M for 1 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
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
N••••• D•••• M•••••••••Plymouth, MnMay 5, 201726 y1
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 headcount0 left over 36 months
Left, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • M••••••••• N•••••• D•••• · Chief Compliance Officer/ Managing Membercontrol
      since 02/2017 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    ADV anomalies
    1 against comparable advisers; where to look, not conclusions
    • low discretionary shareStatic outlier · filing May 22, 2026
      discretionary share of RAUM of 0% against a peer median of 100% (5678 comparable advisers, 0.0th percentile, 33.7 robust deviations)
      peers: independent wealth managers, $100M to $500M (5,678) · 0.0% percentile
    How anomalies are measured
    What changed
    consecutive filings, newest first
    • Accounts · 358 to 364
      Feb 9, 2026 to May 22, 2026
    • Individual clients · 160 to 162
      Feb 9, 2026 to May 22, 2026
    • HNW RAUM · $90.3M to $96.7M
      Feb 9, 2026 to May 22, 2026
    • Individual RAUM · $39.6M to $43.6M
      Feb 9, 2026 to May 22, 2026
    • Non-discretionary RAUM · $130M to $140M
      Feb 9, 2026 to May 22, 2026
    • RAUM · $130M to $140M
      Feb 9, 2026 to May 22, 2026
    • Accounts · 361 to 358
      Apr 9, 2025 to Feb 9, 2026
    • HNW clients · 37 to 40
      Apr 9, 2025 to Feb 9, 2026
    • HNW RAUM · $82.1M to $90.3M
      Apr 9, 2025 to Feb 9, 2026
    • Individual RAUM · $37.0M to $39.6M
      Apr 9, 2025 to Feb 9, 2026
    • Non-discretionary RAUM · $119M to $130M
      Apr 9, 2025 to Feb 9, 2026
    • RAUM · $119M to $130M
      Apr 9, 2025 to Feb 9, 2026
    Signals
    No event on the tape.
    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
    763-478-9934reportedpublished by the firm, firm site, Sep 16, 2026
    Website
    mwmprompt.comreportedpublic record, Form ADV, Sep 19, 2026
    Principal office phone
    763-478-9934reportedpublic record, Form ADV, May 22, 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
    $140Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026