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
P•••••• C••••••
Legal name P•••••• C••••••• L••
Latest filing Jun 24, 2026
First filing on the tape Aug 4, 2023 · 13 filings
SEC status approved since Sep 1, 2023
RAUM
$10.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$10.0M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$2.5M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$10.0M as of Jun 24, 2026
Mar 5, 2024$3.0M then
HNW client RAUM$2.1M as of Jun 24, 2026
Oct 14, 2025$79,788 then
State-registered IARs (5.B.3)4 as of Jun 24, 2026
Mar 5, 20243 then
Employees (5.A)5 as of Jun 24, 2026
Mar 5, 20244 then
Private funds: no history
RAUM +340% over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Jun 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $2.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 5derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $191,408derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +207%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$7.9M79%
- High-net-worth individuals$2.1M21%
- Individual clients
- 18reported
- HNW clients
- 1reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 52reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=4.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• A•••• B••••• | Arden Hills, Mn | Jul 17, 2023 | 15 y | 1 |
| N•••• L••• F•••• | Arden Hills, Mn | Oct 11, 2024 | 16 y | 0 |
| J••• R••••• E•••••Certified Financial Planner | Arden Hills, Mn | Jan 29, 2025 | 12 y | 0 |
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 headcount1 left over 36 months
Left, latest
- D••• L••• P•••••• to L••••••• W••••• A•••••••• I•••Apr 12, 2024 · RIA to a newly registered adviser
- E••••• R•••••• to P•••••• F••••••••Jul 20, 2023 · Other
- T••••• S•••• N•••••• to G••••••• I••••••••• L••Feb 22, 2022 · Other
Joined, latest
- E••••• R•••••• from G••••••• A•••••••• L••Jul 8, 2022 · RIA to a newly registered adviser
- D••• L••• P•••••• from P•••••• F••••••••Jul 23, 2021 · RIA to a newly registered adviser
- T••••• S•••• N•••••• from P•••••• F••••••••Jul 22, 2020 · RIA to a newly registered adviser
- J•••••• A•••• F•••• from G••••••• A•••••••• L••Apr 18, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••• J••••••• A•••• · Chief Compliance Officer/Managing Membercontrolsince 03/2017 · owns 50% to 75%
- O••••• P•••• R• · Membersince 03/2017 · owns 25% to 50%
Related persons
Schedule D 7.A
- P•••••• I••••••••• L••real estaten
- P•••••• W•••••• L••investment advisern
Advisers that list P•••••• C•••••• as a related person
- 288387 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Arden Hills, Mn · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 53 to 52Mar 11, 2026 to May 15, 2026
- Individual clients · 17 to 18Mar 11, 2026 to May 15, 2026
- Discretionary RAUM · $6.9M to $10.0MMar 11, 2026 to May 15, 2026
- HNW RAUM · $2.1M to $2.1MMar 11, 2026 to May 15, 2026
- Individual RAUM · $4.9M to $7.9MMar 11, 2026 to May 15, 2026
- RAUM · $6.9M to $10.0MMar 11, 2026 to May 15, 2026
- Accounts · 45 to 53Dec 11, 2025 to Mar 11, 2026
- HNW clients · 2 to 1Dec 11, 2025 to Mar 11, 2026
- Individual clients · 15 to 17Dec 11, 2025 to Mar 11, 2026
- Financial planning clients · 0 to 1-10Dec 11, 2025 to Mar 11, 2026
- Discretionary RAUM · $3.9M to $6.9MDec 11, 2025 to Mar 11, 2026
- HNW RAUM · $79,788 to $2.1MDec 11, 2025 to Mar 11, 2026
- Individual RAUM · $3.9M to $4.9MDec 11, 2025 to Mar 11, 2026
- Non-discretionary RAUM · $91,397 to $0Dec 11, 2025 to Mar 11, 2026
- RAUM · $4.0M to $6.9MDec 11, 2025 to Mar 11, 2026
- Accounts · 31 to 45Feb 7, 2025 to Oct 14, 2025
- HNW clients · unset to 2.0Feb 7, 2025 to Oct 14, 2025
- Individual clients · 10 to 15Feb 7, 2025 to Oct 14, 2025
- Financial planning clients · 0 to 0Feb 7, 2025 to Oct 14, 2025
- Discretionary RAUM · $2.3M to $3.9MFeb 7, 2025 to Oct 14, 2025
- HNW RAUM · unset to 79788.0Feb 7, 2025 to Oct 14, 2025
- Individual RAUM · $2.3M to $3.9MFeb 7, 2025 to Oct 14, 2025
- Non-discretionary RAUM · $0 to $91,397Feb 7, 2025 to Oct 14, 2025
- RAUM · $2.3M to $4.0MFeb 7, 2025 to Oct 14, 2025
- Accounts · 33 to 31Oct 11, 2024 to Feb 7, 2025
- Advisory employees · 3 to 4Oct 11, 2024 to Feb 7, 2025
- BD registered reps · 3 to 4Oct 11, 2024 to Feb 7, 2025
- Individual clients · 12 to 10Oct 11, 2024 to Feb 7, 2025
- Employees · 4 to 5Oct 11, 2024 to Feb 7, 2025
- Insurance-licensed employees · 3 to 4Oct 11, 2024 to Feb 7, 2025
- State-registered IARs · 3 to 4Oct 11, 2024 to Feb 7, 2025
- Discretionary RAUM · $2.2M to $2.3MOct 11, 2024 to Feb 7, 2025
- Individual RAUM · $2.2M to $2.3MOct 11, 2024 to Feb 7, 2025
- Non-discretionary RAUM · $20,346 to $0Oct 11, 2024 to Feb 7, 2025
- RAUM · $2.2M to $2.3MOct 11, 2024 to Feb 7, 2025
- Accounts · 24 to 33Apr 12, 2024 to Oct 11, 2024
- Advisory employees · 2 to 3Apr 12, 2024 to Oct 11, 2024
- BD registered reps · 2 to 3Apr 12, 2024 to Oct 11, 2024
- Individual clients · 8 to 12Apr 12, 2024 to Oct 11, 2024
- Employees · 3 to 4Apr 12, 2024 to Oct 11, 2024
Signals
4 dated events
- D••• L••• P•••••• left P•••••• C•••••• for L••••••• W••••• A•••••••• I••• (registered 2024-10-01)Apr 12, 2024 · Advisor changed firm · fact
- P•••••• C•••••• filed its initial SEC registration (Form ADV)Aug 4, 2023 · First SEC registration · fact
- E••••• R•••••• left P•••••• C•••••• for P•••••• F•••••••• (registered 2022-07-08)Jul 20, 2023 · Advisor changed firm · fact
- T••••• S•••• N•••••• left P•••••• C•••••• for G••••••• I••••••••• L•• (registered 2022-03-01)Feb 22, 2022 · 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
- Business phone
- 877-219-3199reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- capitalpaladincomra.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 651-842-8406reportedpublic record, Form ADV, Jun 24, 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
- $2.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026