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

G••••••• F•••••••• D•••••• L••

Former SEC-registered adviserArden Hills, MinnesotaCRD 293240SEC 801-112674IAPD
Latest filing Mar 12, 2019
First filing on the tape Feb 20, 2018 · 12 filings
RAUM
n/a
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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 12, 2019
Feb 20, 20181 then
Employees (5.A)1 as of Mar 12, 2019
Feb 20, 20182 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 12, 2019; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
4derivedindividual 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
1.0derived1 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
fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
4reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixedreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • J•••••• K•••• D•••• · Chief Compliance Officercontrol
    since 06/2018 · owns less than 5%
  • L•••••• C••••••• E••••• · Ownercontrol
    since 12/2017 · owns 75% or more
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Individual clients · 0 to 4
    Nov 30, 2018 to Mar 12, 2019
  • Succession · true to false
    Sep 25, 2018 to Nov 30, 2018
  • Succession · false to true
    Sep 7, 2018 to Sep 25, 2018
  • Advisory employees · 2 to 1
    May 21, 2018 to Jun 21, 2018
  • Employees · 2 to 1
    May 21, 2018 to Jun 21, 2018
  • State-registered IARs · 2 to 1
    May 21, 2018 to Jun 21, 2018
  • Advisory employees · 1 to 2
    Mar 12, 2018 to Mar 16, 2018
  • State-registered IARs · 1 to 2
    Mar 12, 2018 to Mar 16, 2018
  • Financial planning clients · unset to 0
    Feb 20, 2018 to Mar 12, 2018
Signals
2 dated events
  • G••••••• F•••••••• D•••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Sep 25, 2018 · Succession (Item 4) · fact
  • G••••••• F•••••••• D•••••• L•• filed its initial SEC registration (Form ADV)
    Feb 20, 2018 · 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