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

F••• F•••••••• C•••••••••

Former SEC-registered adviserBloomington, MinnesotaCRD 288396SEC 801-110688IAPD
Latest filing Nov 3, 2022
First filing on the tape May 23, 2017 · 24 filings
RAUM
$276M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$276M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$276M as of Mar 18, 2022
Mar 8, 2018$200M then
HNW client RAUM$196M as of Mar 18, 2022
Mar 8, 2018$113M then
State-registered IARs (5.B.3)3 as of Mar 18, 2022
Mar 8, 20184 then
Employees (5.A)11 as of Mar 18, 2022
Mar 8, 201812 then
Private funds: no history
RAUM +28% over the last fiscal year+11% a year over threeIARs 1 to 3
Practice profile
derived from the filing of Nov 3, 2022; every figure names its basis
RAUM per advisor
$92.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
106derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.8MderivedHNW RAUM over HNW clients
Average account
$263,356derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.7derivedItem 5.A over advisors
Advisors per office
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+28%derivedbetween the last two annual amendments
Advisor growth, one year
+200%derivedItem 5.B.3 between annual amendments
Client growth, one year
-5.9%derived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$196M71%
  • Individuals$80.0M29%
Individual clients
249reported
HNW clients
69reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1,048reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Left, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • F•••• J•••••••• C••• · President, Chief Investment Officer, Chief Compliance Officercontrol
    since 10/1988 · owns less than 5%
Entity owners
  • M••••• G••••• A••••••• I••• · Parent Company
    direct · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • , 1 employees
What changed
consecutive filings, newest first
  • Accounts · 1,097 to 1,048
    Jun 3, 2021 to Mar 18, 2022
  • Advisory employees · 3 to 4
    Jun 3, 2021 to Mar 18, 2022
  • HNW clients · 76 to 69
    Jun 3, 2021 to Mar 18, 2022
  • Individual clients · 262 to 249
    Jun 3, 2021 to Mar 18, 2022
  • Employees · 9 to 11
    Jun 3, 2021 to Mar 18, 2022
  • State-registered IARs · 1 to 3
    Jun 3, 2021 to Mar 18, 2022
  • Discretionary RAUM · $216M to $276M
    Jun 3, 2021 to Mar 18, 2022
  • HNW RAUM · $137M to $196M
    Jun 3, 2021 to Mar 18, 2022
  • Individual RAUM · $78.9M to $80.0M
    Jun 3, 2021 to Mar 18, 2022
  • RAUM · $216M to $276M
    Jun 3, 2021 to Mar 18, 2022
  • Accounts · 1,218 to 1,097
    Feb 12, 2021 to Mar 26, 2021
  • Advisory employees · 2 to 3
    Feb 12, 2021 to Mar 26, 2021
  • Charity clients · 1 to 0
    Feb 12, 2021 to Mar 26, 2021
  • HNW clients · 72 to 76
    Feb 12, 2021 to Mar 26, 2021
  • Individual clients · 293 to 262
    Feb 12, 2021 to Mar 26, 2021
  • Other offices · 0 to 1
    Feb 12, 2021 to Mar 26, 2021
  • Discretionary RAUM · $221M to $216M
    Feb 12, 2021 to Mar 26, 2021
  • HNW RAUM · $127M to $137M
    Feb 12, 2021 to Mar 26, 2021
  • Individual RAUM · $91.7M to $78.9M
    Feb 12, 2021 to Mar 26, 2021
  • RAUM · $221M to $216M
    Feb 12, 2021 to Mar 26, 2021
  • Advisory employees · 4 to 2
    Dec 16, 2020 to Feb 12, 2021
  • Employees · 13 to 9
    Dec 16, 2020 to Feb 12, 2021
  • State-registered IARs · 3 to 1
    Dec 16, 2020 to Feb 12, 2021
  • Advisory activities · 2 to 4
    Jun 29, 2020 to Aug 18, 2020
  • Accounts · 1,179 to 1,218
    Jan 8, 2020 to Mar 27, 2020
  • HNW clients · 65 to 72
    Jan 8, 2020 to Mar 27, 2020
  • Employees · 12 to 13
    Jan 8, 2020 to Mar 27, 2020
  • State-registered IARs · 4 to 3
    Jan 8, 2020 to Mar 27, 2020
  • Discretionary RAUM · $201M to $221M
    Jan 8, 2020 to Mar 27, 2020
  • HNW RAUM · $108M to $127M
    Jan 8, 2020 to Mar 27, 2020
  • Individual RAUM · $91.7M to $91.7M
    Jan 8, 2020 to Mar 27, 2020
  • RAUM · $201M to $221M
    Jan 8, 2020 to Mar 27, 2020
  • Accounts · 1,101 to 1,179
    Oct 19, 2018 to Mar 27, 2019
  • HNW clients · 62 to 65
    Oct 19, 2018 to Mar 27, 2019
  • Individual clients · 265 to 293
    Oct 19, 2018 to Mar 27, 2019
  • Discretionary RAUM · $200M to $201M
    Oct 19, 2018 to Mar 27, 2019
  • HNW RAUM · $113M to $108M
    Oct 19, 2018 to Mar 27, 2019
  • Individual RAUM · $85.4M to $91.7M
    Oct 19, 2018 to Mar 27, 2019
  • RAUM · $200M to $201M
    Oct 19, 2018 to Mar 27, 2019
  • Accounts · 1,072 to 1,101
    Sep 29, 2017 to Mar 8, 2018
Signals
6 dated events
  • E••• F• B•••••• left F••• F•••••••• C••••••••• for M••••• G••••• A••••••• I••• (registered 2022-09-01)
    Dec 21, 2022 · Advisor changed firm · fact
  • J••••••• C••• F••• left F••• F•••••••• C••••••••• for M••••• G••••• A••••••• I••• (registered 2022-09-01)
    Dec 21, 2022 · Advisor changed firm · fact
  • J••• A•••••• M••• left F••• F•••••••• C••••••••• for M••••• G••••• A••••••• I••• (registered 2022-06-30)
    Dec 21, 2022 · Advisor changed firm · fact
  • F••• F•••••••• C•••••••••'s advisors moved to M••••• G••••• A••••••• I••• (Bloomington, MN): 3 of 3 registered, on the same day
    Dec 21, 2022 · Firm absorbed (people side) · derived
  • Allan Grant Meyer (Chief Information Security Officer) no longer on Schedule A of F••• F•••••••• C••••••••• (listed 2020-12-16, absent 2021-02-12)
    Feb 12, 2021 · Control person left · inference
  • F••• F•••••••• C••••••••• filed its initial SEC registration (Form ADV)
    May 23, 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
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