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••• F•••••••• C••••••••• I•••
Latest filing Feb 25, 2026
First filing on the tape Apr 24, 2025 · 3 filings
SEC status approved since May 27, 2025
RAUM
$132M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$132M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$66.1M
derived; firm RAUM over IAPD count
Employees
2
2 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$132M as of Feb 25, 2026
Apr 24, 2025$110M then
HNW client RAUM$71.8M as of Feb 25, 2026
Apr 24, 2025$51.8M then
State-registered IARs (5.B.3)2 as of Feb 25, 2026
Apr 24, 20252 then
Employees (5.A)2 as of Feb 25, 2026
Apr 24, 20252 then
Private funds: no history
RAUM +20% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Feb 25, 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
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $66.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 186derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $356,526derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.2%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$71.8M54%
- Individuals$60.4M46%
- Individual clients
- 320reported
- HNW clients
- 51reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 371reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• W••••• D•••••••••Certified Financial Planner | Bloomington, Mn | Mar 29, 2018 | 18 y | 1 |
| F••• C••••••••• D•••••••••Certified Financial Planner | Bloomington, Mn | Mar 29, 2018 | 35 y | 2 |
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
Joined, latest
- F••• C••••••••• D••••••••• from L•• F•••••••• L••Mar 29, 2018 · RIA to RIA
- D••••• W••••• D••••••••• from L•• F•••••••• L••Mar 29, 2018 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from L•• F•••••••• L••Apr 9, 2018 · Bloomington, Mn
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••••• D•••••• W••••• · President/Chief Compliance Officercontrolsince 06/2019 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Bloomington, Mn · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count collapseChange between filings · filing Feb 25, 2026accounts (Item 5.F.2.f) moved from 716.0 to 371.0 (-48.0%) between the annual amendments of 2025-04-24 and 2026-02-25; the peer median change was +5.0% (3687 comparable advisers, 3.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 3.1% percentile
What changed
consecutive filings, newest first
- Accounts · 716 to 371Jun 2, 2025 to Feb 25, 2026
- HNW clients · 40 to 51Jun 2, 2025 to Feb 25, 2026
- Individual clients · 316 to 320Jun 2, 2025 to Feb 25, 2026
- Discretionary RAUM · $110M to $132MJun 2, 2025 to Feb 25, 2026
- HNW RAUM · $51.8M to $71.8MJun 2, 2025 to Feb 25, 2026
- Individual RAUM · $58.4M to $60.4MJun 2, 2025 to Feb 25, 2026
- RAUM · $110M to $132MJun 2, 2025 to Feb 25, 2026
- Financial planning clients · 101-250 to 101-250Apr 24, 2025 to Jun 2, 2025
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 email
- m•••••••••@p•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- t•••••••••@p•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 952-303-8200reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 952-303-8202reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 952-303-8203reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- P•••FINANCIALC•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 952-303-8200reportedpublic record, Form ADV, Feb 25, 2026
- Team page
- p•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $66.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026