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
V•• C•••••• W••••• M••••••••• L••
Latest filing Sep 1, 2026
First filing on the tape Mar 15, 2024 · 22 filings
SEC status approved since Apr 12, 2024
RAUM
$470M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
98%
$462M individuals and HNW
Advisors
40
registered through the firm on IAPD
RAUM per advisor
$11.8M
derived; firm RAUM over IAPD count
Employees
28
24 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$470M as of Aug 31, 2026
Jan 30, 2025$106M then
HNW client RAUM$342M as of Aug 31, 2026
Jan 30, 2025$73.2M then
State-registered IARs (5.B.3)24 as of Aug 31, 2026
Jan 30, 202515 then
Employees (5.A)28 as of Aug 31, 2026
Jan 30, 202516 then
Private funds: no history
RAUM +44% over the last fiscal yearIARs 18 to 24
Practice profile
derived from the filing of Sep 1, 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
- RAUM per advisor
- $11.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 15derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $296,025derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 1.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.7derivedItem 5.A over advisors
- Advisors per office
- 6.7derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +44%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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$342M73%
- Individuals$120M25%
- Pension and profit-sharing plans$6.1M1.3%
- Insurance companies$2.2M0.5%
- Individual clients
- 407reported
- HNW clients
- 192reported
- Pension plan clients
- 8reported
- Charitable clients
- n/areported
- Accounts
- 1,589reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=true related_bank=false bd_reps=21.0derived
Advisors registered through the firm
39 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• C•••••• G•••••• | Minneapolis, Mn | Jun 2, 2022 | 28 y | 6 |
| A••••• S•••• K••••••Certified Financial Planner, Chartered Financial Consultant | Minneapolis, Mn | Jul 8, 2022 | 11 y | 0 |
| A•••••• J•• C••••Certified Financial Planner, Chartered Financial Consultant | Minneapolis, Mn | Jul 21, 2022 | 10 y | 0 |
| J••••• H••• R•••Certified Financial Planner | Minneapolis, Mn | Jan 17, 2023 | 27 y | 0 |
| T•••••• J•••• C••••••• | Minneapolis, Mn | Mar 24, 2023 | 45 y | 0 |
| S•••••• J••••• P••••• | Minneapolis, Mn | Aug 14, 2023 | 11 y | 0 |
| J•••••• R••••• M••••••Certified Financial Planner | Minneapolis, Mn | Sep 11, 2023 | 19 y | 2 |
| R••••• E••••• L••• | Minneapolis, Mn | Sep 14, 2023 | 37 y | 5 |
| B••••••• C• C•••• | Minneapolis, Mn | Jan 2, 2024 | 10 y | 0 |
| A••• M•••••• | New Brighton, Mn | Feb 26, 2024 | 25 y | 2 |
| W•••••• L• C•••••••••Certified Financial Planner | Minneapolis, Mn | Apr 19, 2024 | 15 y | 3 |
| B•••••• D••••• O•••••••Certified Financial Planner | Annapolis, Md | May 6, 2024 | 11 y | 5 |
| W•• Q•••Chartered Financial Analyst | Bloomington, Mn | Sep 26, 2024 | 13 y | 1 |
| M•••••• A••• C••Certified Financial Planner | Minneapolis, Mn | Jan 8, 2025 | 21 y | 3 |
| B•••• W•••• W••••• | Minneapolis, Mn | Feb 18, 2025 | 18 y | 2 |
| R••••• K•••••• H•••Certified Financial Planner | Bellevue, Ne | Feb 18, 2025 | 29 y | 5 |
| A••••• G•••• K••••• | Minneapolis, Mn | Jun 2, 2025 | 10 y | 0 |
| J••••• F•••••••• | San Antonio, Tx | Jun 24, 2025 | 18 y | 3 |
| Y•••• T••• | Minneapolis, Mn | Aug 13, 2025 | 15 y | 1 |
| T••••• A••••• P•••• | Minneapolis, Mn | Dec 10, 2025 | 40 y | 2 |
| M•••••• J••• R••• | Minneapolis, Mn | Feb 4, 2026 | 41 y | 0 |
| T•••• M•••••• L••••••Chartered Financial Consultant | Bloomfield Hills, Mi | Feb 6, 2026 | 13 y | 1 |
| A•••• J• S••••••• | Hopkinsville, Ky | Feb 12, 2026 | 10 y | 3 |
| N••• J•••• H•••••Certified Financial Planner | Minneapolis, Mn | Mar 10, 2026 | 39 y | 13 |
| R••••• B••• | Minneapolis, Mn | Mar 31, 2026 | 13 y | 1 |
| G•••••• P••• G••••••• | Minneapolis, Mn | Apr 8, 2026 | 35 y | 2 |
| A•••• L••• S••••• | Minneapolis, Mn | Apr 28, 2026 | 29 y | 4 |
| J••••• E••••• S••••• | Hermantown, Mn | May 1, 2026 | 26 y | 0 |
| D••••• U••••••• | Richmond Heights, Mo | May 6, 2026 | 14 y | 1 |
| R•••• R•••• H•••••••• | Minneapolis, Mn | May 11, 2026 | 15 y | 3 |
| R••• M••• Q•••• | Bloomington, Mn | May 14, 2026 | 10 y | 1 |
| T••••• H•••• S•••••••• | Smyrna, Ga | May 21, 2026 | 11 y | 5 |
| C•••• F•••••• L••••••• | Minneapolis, Mn | Jul 7, 2026 | 21 y | 2 |
| B•••• J•••• H•••••••••Certified Financial Planner | Loveland, Oh | Jul 13, 2026 | 28 y | 3 |
| S•••••••• T••••• G•••••Certified Financial Planner | Tampa, Fl | Aug 3, 2026 | 10 y | 1 |
| L••• J•••••• L•••• | Rudy, Ar | Aug 11, 2026 | 10 y | 1 |
| D•••• D•••• S•••• | Dubuque, Ia | Aug 26, 2026 | 10 y | 1 |
| K••• D•••• W•••••• | Dubuque, Ia | Aug 26, 2026 | 36 y | 5 |
| D•••• T••••• P••• | Alpharetta, Ga | Sep 9, 2026 | 13 y | 1 |
Advisor movement
0 left, 16 joined in 12 months
net +16 in 12 months0 left in 90 days6 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- S••••• M••••••• B••••• to K•• I••••••••• S••••••• L••Oct 20, 2024 · RIA to affiliated broker-dealer or bank
- B••••••• C•••••• to W•••• F•••• A•••••••Mar 20, 2023 · RIA to wirehouse
Joined, latest
- D•••• T••••• P••• from R•••••• J•••• • A••••••••• I•••Sep 9, 2026 · Affiliated broker-dealer or bank to independent RIA
- D•••• D•••• S•••• from C•••••• C•••••• G••••• I•••Aug 26, 2026 · RIA to RIA
- K••• D•••• W•••••• from C•••••• C•••••• G••••• I•••Aug 26, 2026 · RIA to RIA
- S•••••••• T••••• G••••• from F•••••• F•••••••• A•••••••• L••Aug 3, 2026 · Affiliated broker-dealer or bank to independent RIA
- B•••• J•••• H••••••••• from F•••• T•••• S••••••••• I•••Jul 13, 2026 · Other
- C•••• F•••••• L••••••• from C••••• I••••••••• A••••••• L••Jul 7, 2026 · Affiliated broker-dealer or bank to independent RIA
- T••••• H•••• S•••••••• from C••••••••• W••••• P•••••••• L••May 21, 2026 · RIA to RIA
- R••• M••• Q•••• from E•• A•••••••May 14, 2026 · Affiliated broker-dealer or bank to independent RIA
- R•••• R•••• H•••••••• from W•••• F•••• A•••••••May 11, 2026 · Wirehouse to independent RIA
- D••••• U••••••• from F•••••••• • T•• A••••••••• L••May 6, 2026 · RIA to RIA
- A•••• L••• S••••• from M••••• S••••••Apr 28, 2026 · Wirehouse to independent RIA
- R••••• B••• from F•••••••• F•••••••• P••••••• N••••••Mar 31, 2026 · RIA to RIA
- N••• J•••• H••••• from L•• F•••••••• L••Mar 10, 2026 · Affiliated broker-dealer or bank to independent RIA
- A•••• J• S••••••• from U••• B•••••• I••••••••• I•••Feb 12, 2026 · Affiliated broker-dealer or bank to independent RIA
- T•••• M•••••• L•••••• from W•••••• • R•••Feb 6, 2026 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from B••••• T••••••• W•••••Apr 15, 2025 · Bellevue, Ne
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••• J•••••• C•••••• · President / Ccocontrolsince 02/2022 · owns less than 5%
Entity owners
- V•• C•••••• F•••••••• C••••••••• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- V•• C•••••• • C•• I•••••••••broker-dealern
- V•• C•••••• I•••••••• A••••••••• L••real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Minneapolis, Mn · principal | 40 | 21 | 0 | ||
| Bloomington, Mn | 5 | 3 | 0 | ||
| Dubuque, Ia | 2 | 2 | 0 | ||
| Springfield, Or | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Bloomington, MN6 employees
- Bismarck, ND1 employees
- Annapolis, MD1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Apr 27, 2026accounts (Item 5.F.2.f) moved from 551.0 to 1,589.0 (+188.0%) between the annual amendments of 2025-04-08 and 2026-04-27; the peer median change was +5.0% (3687 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 99% percentile
- RAUM up 25 %Change between filings · filing Apr 27, 2026RAUM (Item 5.F) moved from $327,243,548 to $470,383,471 (+44.0%) between the annual amendments of 2025-04-08 and 2026-04-27; the peer median change was +15.0% (4550 comparable advisers, 94.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 94% percentile
What changed
consecutive filings, newest first
- Financial planning clients · 51-100 to 51-100Aug 31, 2026 to Sep 1, 2026
- Succession · false to unsetAug 31, 2026 to Sep 1, 2026
- Other offices · 4 to 5Apr 27, 2026 to May 22, 2026
- Accounts · 551 to 1,589Feb 1, 2026 to Feb 25, 2026
- Advisory employees · 18 to 24Feb 1, 2026 to Feb 25, 2026
- BD registered reps · 14 to 21Feb 1, 2026 to Feb 25, 2026
- HNW clients · 66 to 192Feb 1, 2026 to Feb 25, 2026
- Individual clients · 479 to 407Feb 1, 2026 to Feb 25, 2026
- Pension plan clients · 6 to 8Feb 1, 2026 to Feb 25, 2026
- Employees · 20 to 28Feb 1, 2026 to Feb 25, 2026
- Insurance-licensed employees · 2 to 0Feb 1, 2026 to Feb 25, 2026
- State-registered IARs · 18 to 24Feb 1, 2026 to Feb 25, 2026
- Other offices · 5 to 4Feb 1, 2026 to Feb 25, 2026
- Discretionary RAUM · $323M to $464MFeb 1, 2026 to Feb 25, 2026
- HNW RAUM · $218M to $342MFeb 1, 2026 to Feb 25, 2026
- Individual RAUM · $104M to $120MFeb 1, 2026 to Feb 25, 2026
- Non-discretionary RAUM · $4.6M to $6.5MFeb 1, 2026 to Feb 25, 2026
- Pension RAUM · $4.6M to $6.1MFeb 1, 2026 to Feb 25, 2026
- RAUM · $327M to $470MFeb 1, 2026 to Feb 25, 2026
- Accounts · 481 to 551Feb 11, 2025 to Apr 8, 2025
- Advisory employees · 15 to 18Feb 11, 2025 to Apr 8, 2025
- HNW clients · 52 to 66Feb 11, 2025 to Apr 8, 2025
- Individual clients · 196 to 479Feb 11, 2025 to Apr 8, 2025
- Pension plan clients · 2 to 6Feb 11, 2025 to Apr 8, 2025
- Employees · 16 to 20Feb 11, 2025 to Apr 8, 2025
- Insurance-licensed employees · 0 to 2Feb 11, 2025 to Apr 8, 2025
- Financial planning clients · 51-100 to 51-100Feb 11, 2025 to Apr 8, 2025
- State-registered IARs · 15 to 18Feb 11, 2025 to Apr 8, 2025
- Other offices · 3 to 5Feb 11, 2025 to Apr 8, 2025
- Discretionary RAUM · $102M to $323MFeb 11, 2025 to Apr 8, 2025
- HNW RAUM · $73.2M to $218MFeb 11, 2025 to Apr 8, 2025
- Individual RAUM · $29.2M to $104MFeb 11, 2025 to Apr 8, 2025
- Non-discretionary RAUM · $3.5M to $4.6MFeb 11, 2025 to Apr 8, 2025
- Pension RAUM · $3.5M to $4.6MFeb 11, 2025 to Apr 8, 2025
- RAUM · $106M to $327MFeb 11, 2025 to Apr 8, 2025
- Related insurance company · false to trueFeb 11, 2025 to Apr 8, 2025
- Advisory employees · 16 to 15Oct 9, 2024 to Jan 30, 2025
- BD registered reps · 15 to 14Oct 9, 2024 to Jan 30, 2025
- Employees · 17 to 16Oct 9, 2024 to Jan 30, 2025
- State-registered IARs · 16 to 15Oct 9, 2024 to Jan 30, 2025
Signals
6 dated events
- V•• C•••••• W••••• M••••••••• L•• reported RAUM $470.4M, up 44% from $327.2M (2026-02-01 to 2026-02-25)Feb 25, 2026 · RAUM change · derived
- 2 advisors left B••••• T••••••• W••••• (Bennet, NE) for V•• C•••••• W••••• M••••••••• L•• on the same dayApr 15, 2025 · Team lift-out · derived
- V•• C•••••• W••••• M••••••••• L•• reported RAUM $327.2M, up 209% from $105.9M (2025-02-11 to 2025-04-08)Apr 8, 2025 · RAUM change · derived
- S••••• M••••••• B••••• left V•• C•••••• W••••• M••••••••• L•• for K•• I••••••••• S••••••• L•• (registered 2024-10-30)Oct 20, 2024 · Advisor changed firm · fact
- V•• C•••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 15, 2024 · First SEC registration · fact
- B••••••• C•••••• left V•• C•••••• W••••• M••••••••• L•• for W•••• F•••• A••••••• (registered 2023-04-24)Mar 20, 2023 · Advisor changed firm · 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
- Business email
- info@vanclemens.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 612-758-9140reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 612-758-9199reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- vanclemens.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 612-758-9140reportedpublic record, Form ADV, Sep 1, 2026
- Team page
- vanclemens.com/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $11.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026