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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
C••••• F••••••••• L••
Latest filing Feb 19, 2026
First filing on the tape Apr 16, 2018 · 19 filings
SEC status approved since May 15, 2018
RAUM
$361M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$361M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$72.1M
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$361M as of Feb 19, 2026
Mar 13, 2019$98.7M then
HNW client RAUM$265M as of Feb 19, 2026
Mar 13, 2019$53.5M then
State-registered IARs (5.B.3)5 as of Feb 19, 2026
Mar 13, 20193 then
Employees (5.A)7 as of Feb 19, 2026
Mar 13, 20194 then
Private funds: no history
RAUM +14% over the last fiscal year+33% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Feb 19, 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
- RAUM per advisor
- $72.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 54derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $421,411derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%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, pension consultingreportedItem 5.G
- Custody
- $65.4M, 130 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$265M74%
- Individuals$95.2M26%
- Individual clients
- 170reported
- HNW clients
- 102reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 856reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $65.4M for 130 clientsreported
- 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=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• R• F••••Certified Financial Planner | Minneapolis, Mn | Jun 15, 2018 | 14 y | 1 |
| I••••• E•••••••• S••••••Certified Financial Planner | Minneapolis, Mn | Jun 15, 2018 | 19 y | 3 |
| K•••••• A•• B••••Certified Financial Planner | Minneapolis, Mn | Jan 31, 2023 | 21 y | 0 |
| T••••• L•• S••••••• | Minneapolis, Mn | Jan 3, 2025 | 45 y | 1 |
| K•••• J•• S••••••• N•••Certified Financial Planner | Minneapolis, Mn | Jan 3, 2025 | 21 y | 1 |
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
- T••••• L•• S••••••• from T••••• L• S•••••••Jan 3, 2025 · Other
- K•••• J•• S••••••• N••• from T••••• L• S•••••••Jan 3, 2025 · Other
- J••••• R• F•••• from C••••• F•••••••• A•••••••• I•••Jun 15, 2018 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from T••••• L• S•••••••Jan 28, 2025 · Roseville, Mn
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••• J•••••• R• · Partner / Membercontrolsince 01/2020 · owns 50% to 75%
- S••••••• I•••••• E•••••••• · Partner/Member And Chief Compliance Officercontrolsince 06/2015 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Minneapolis, Mn · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 851 to 856Oct 21, 2025 to Feb 19, 2026
- HNW clients · 103 to 102Oct 21, 2025 to Feb 19, 2026
- Individual clients · 181 to 170Oct 21, 2025 to Feb 19, 2026
- Assets in custody · $97.6M to $65.4MOct 21, 2025 to Feb 19, 2026
- Discretionary RAUM · $318M to $361MOct 21, 2025 to Feb 19, 2026
- HNW RAUM · $239M to $265MOct 21, 2025 to Feb 19, 2026
- Individual RAUM · $78.3M to $95.2MOct 21, 2025 to Feb 19, 2026
- RAUM · $318M to $361MOct 21, 2025 to Feb 19, 2026
- Accounts · 540 to 851Mar 5, 2024 to Mar 3, 2025
- Advisory employees · 3 to 5Mar 5, 2024 to Mar 3, 2025
- HNW clients · 61 to 103Mar 5, 2024 to Mar 3, 2025
- Individual clients · 107 to 181Mar 5, 2024 to Mar 3, 2025
- Assets in custody · $181M to $97.6MMar 5, 2024 to Mar 3, 2025
- Employees · 4 to 7Mar 5, 2024 to Mar 3, 2025
- Financial planning clients · 101-250 to 101-250Mar 5, 2024 to Mar 3, 2025
- State-registered IARs · 3 to 5Mar 5, 2024 to Mar 3, 2025
- Discretionary RAUM · $181M to $318MMar 5, 2024 to Mar 3, 2025
- HNW RAUM · $132M to $239MMar 5, 2024 to Mar 3, 2025
- Individual RAUM · $49.1M to $78.3MMar 5, 2024 to Mar 3, 2025
- RAUM · $181M to $318MMar 5, 2024 to Mar 3, 2025
- Accounts · 506 to 540Feb 17, 2023 to Mar 5, 2024
- Advisory employees · 2 to 3Feb 17, 2023 to Mar 5, 2024
- Charity clients · unset to 1.0Feb 17, 2023 to Mar 5, 2024
- HNW clients · 50 to 61Feb 17, 2023 to Mar 5, 2024
- Individual clients · 110 to 107Feb 17, 2023 to Mar 5, 2024
- Assets in custody · $36.1M to $181MFeb 17, 2023 to Mar 5, 2024
- Employees · 3 to 4Feb 17, 2023 to Mar 5, 2024
- State-registered IARs · 2 to 3Feb 17, 2023 to Mar 5, 2024
- Discretionary RAUM · $152M to $181MFeb 17, 2023 to Mar 5, 2024
- HNW RAUM · $106M to $132MFeb 17, 2023 to Mar 5, 2024
- Individual RAUM · $46.3M to $49.1MFeb 17, 2023 to Mar 5, 2024
- RAUM · $152M to $181MFeb 17, 2023 to Mar 5, 2024
- Accounts · 483 to 506Jul 29, 2022 to Feb 17, 2023
- HNW clients · 63 to 50Jul 29, 2022 to Feb 17, 2023
- Individual clients · 107 to 110Jul 29, 2022 to Feb 17, 2023
- Assets in custody · $22.6M to $36.1MJul 29, 2022 to Feb 17, 2023
- Discretionary RAUM · $164M to $152MJul 29, 2022 to Feb 17, 2023
- HNW RAUM · $123M to $106MJul 29, 2022 to Feb 17, 2023
- Individual RAUM · $40.6M to $46.3MJul 29, 2022 to Feb 17, 2023
- RAUM · $164M to $152MJul 29, 2022 to Feb 17, 2023
Signals
5 dated events
- C••••• F••••••••• L•• reported RAUM $317.6M, up 75% from $181.3M (2024-03-05 to 2025-03-03)Mar 3, 2025 · RAUM change · derived
- 2 advisors left T••••• L• S••••••• (Roseville, MN) for C••••• F••••••••• L•• on the same dayJan 28, 2025 · Team lift-out · derived
- Joseph Paul Leighton (Partner / Member) no longer on Schedule A of C••••• F••••••••• L•• (listed 2019-03-13, absent 2020-02-07)Feb 7, 2020 · Control person left · inference
- R Jeanna Fifer (Partner / Member) appeared on Schedule A of C••••• F••••••••• L••Feb 7, 2020 · Control person joined · fact
- C••••• F••••••••• L•• filed its initial SEC registration (Form ADV)Apr 16, 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/cordis-financialreportedpublic record, Form ADV, Sep 18, 2026
- Website
- C•••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (612) 268-2620reportedpublic record, Form ADV, Feb 19, 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
- $72.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026