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

N•••• P•••• F•••••••• P•••••••

Former SEC-registered adviserBismarck, North DakotaCRD 289180SEC 801-111044IAPD
Latest filing Feb 12, 2018
First filing on the tape Jul 25, 2017 · 5 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$0 as of Feb 12, 2018
Jul 25, 2017$0 then
HNW client RAUM$0 as of Feb 12, 2018
Dec 18, 2017$0 then
State-registered IARs (5.B.3)1 as of Feb 12, 2018
Jul 25, 20173 then
Employees (5.A)1 as of Feb 12, 2018
Jul 25, 20175 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Feb 12, 2018; every figure names its basis
RAUM per advisor
$0derivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 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
Wrap fee program
participatesreportedItem 5.I
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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
0reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $0 managedreported
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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • F•••••••• J••••• A••••• · Owner / Managing Partner / Chief Compliance Officercontrol
    since 10/2015 · owns 25% to 50%
  • H•••••• J•••••••• K•••• · Owner / Managing Partnercontrol
    since 10/2015 · owns 25% to 50%
  • W•••••••• N•••••••• G•• · Owner / Managing Partnercontrol
    since 10/2015 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • Hazen, ND1 employees
What changed
consecutive filings, newest first
  • Advisory employees · 3 to 1
    Sep 7, 2017 to Dec 18, 2017
  • BD registered reps · 3 to 1
    Sep 7, 2017 to Dec 18, 2017
  • Employees · 5 to 1
    Sep 7, 2017 to Dec 18, 2017
  • Insurance-licensed employees · 3 to 1
    Sep 7, 2017 to Dec 18, 2017
  • State-registered IARs · 3 to 1
    Sep 7, 2017 to Dec 18, 2017
  • Other offices · unset to 1.0
    Sep 7, 2017 to Dec 18, 2017
  • HNW RAUM · unset to 0.0
    Sep 7, 2017 to Dec 18, 2017
  • Individual RAUM · unset to 0.0
    Sep 7, 2017 to Dec 18, 2017
  • Pension RAUM · unset to 0.0
    Sep 7, 2017 to Dec 18, 2017
  • Pooled vehicle RAUM · unset to 0.0
    Sep 7, 2017 to Dec 18, 2017
  • Wrap assets (manager) · unset to 0.0
    Sep 7, 2017 to Dec 18, 2017
  • Wrap assets (sponsor) · unset to 0.0
    Sep 7, 2017 to Dec 18, 2017
Signals
1 dated events
  • N•••• P•••• F•••••••• P••••••• filed its initial SEC registration (Form ADV)
    Jul 25, 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