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
M••• F•••••••• G••••
Legal name M••• F•••••••• S•••••••• I•••
Latest filing Feb 3, 2026
First filing on the tape Mar 5, 2019 · 15 filings
SEC status approved since Apr 5, 2019
RAUM
$396M
reported, Item 5.F
Discretionary
85%
of RAUM
Private clients
83%
$328M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$198M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$396M as of Feb 3, 2026
Jan 31, 2020$137M then
HNW client RAUM$197M as of Feb 3, 2026
Jan 31, 2020$5.4M then
State-registered IARs (5.B.3)2 as of Feb 3, 2026
Jan 31, 20202 then
Employees (5.A)5 as of Feb 3, 2026
Jan 31, 20203 then
Private funds: no history
RAUM +18% over the last fiscal year+21% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 3, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $198MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 293derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $357,937derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 85%derivedof RAUM
- Institutional
- 17%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +23%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Financial planning clients
- 600reportedItem 5.H
- Wrap fee program
- $336MreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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
- High-net-worth individuals$197M50%
- Individuals$132M33%
- Pension and profit-sharing plans$59.5M15%
- Charitable organizations$7.5M1.9%
- Individual clients
- 488reported
- HNW clients
- 97reported
- Pension plan clients
- 6reported
- Charitable clients
- 6reported
- Accounts
- 1,105reported
- Financial planning clients
- 600reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.83 fund_share=0.0 institutional_share=0.17 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• E••••• M•••Certified Financial Planner | Detroit Lakes, Mn | May 17, 2019 | 20 y | 3 |
| K•••• M•••••• M•••Certified Financial Planner | Detroit Lakes, Mn | May 17, 2019 | 29 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
- K•••• M•••••• M••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••May 17, 2019 · Affiliated broker-dealer or bank to a newly registered adviser
- B•••• E••••• M••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••May 17, 2019 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from R•••••• J•••• F•••••••• S••••••• A•••••••• I••May 30, 2019 · Detroit Lakes, Mn
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••• B••••• E••••• · Partner & Chief Compliance Officercontrolsince 03/2019 · owns 50% to 75%
- M•••• K••••• M•••••• · Principalcontrolsince 03/2019 · owns 50% to 75%
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Detroit Lakes, Mn · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Feb 3, 2026accounts (Item 5.F.2.f) moved from 484.0 to 1,105.0 (+128.0%) between the annual amendments of 2025-01-29 and 2026-02-03; the peer median change was +5.0% (3687 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 98% percentile
- HNW share shiftChange between filings · filing Feb 3, 2026HNW share of RAUM moved from 7.0% to 50.0% between the annual amendments of 2025-01-29 and 2026-02-03peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 484 to 1,105Jan 29, 2025 to Feb 3, 2026
- Charity clients · 4 to 6Jan 29, 2025 to Feb 3, 2026
- HNW clients · 4 to 97Jan 29, 2025 to Feb 3, 2026
- Individual clients · 470 to 488Jan 29, 2025 to Feb 3, 2026
- Employees · 4 to 5Jan 29, 2025 to Feb 3, 2026
- Financial planning clients · 251-500 to More than 500Jan 29, 2025 to Feb 3, 2026
- Discretionary RAUM · $279M to $336MJan 29, 2025 to Feb 3, 2026
- HNW RAUM · $22.6M to $197MJan 29, 2025 to Feb 3, 2026
- Individual RAUM · $251M to $132MJan 29, 2025 to Feb 3, 2026
- Non-discretionary RAUM · $56.2M to $59.5MJan 29, 2025 to Feb 3, 2026
- Pension RAUM · $56.2M to $59.5MJan 29, 2025 to Feb 3, 2026
- RAUM · $335M to $396MJan 29, 2025 to Feb 3, 2026
- Accounts · 1,072 to 484Jan 31, 2024 to Jan 29, 2025
- HNW clients · 2 to 4Jan 31, 2024 to Jan 29, 2025
- Individual clients · 440 to 470Jan 31, 2024 to Jan 29, 2025
- Financial planning clients · 251-500 to 251-500Jan 31, 2024 to Jan 29, 2025
- Discretionary RAUM · $233M to $279MJan 31, 2024 to Jan 29, 2025
- HNW RAUM · $11.5M to $22.6MJan 31, 2024 to Jan 29, 2025
- Individual RAUM · $218M to $251MJan 31, 2024 to Jan 29, 2025
- Non-discretionary RAUM · $50.4M to $56.2MJan 31, 2024 to Jan 29, 2025
- Pension RAUM · $50.4M to $56.2MJan 31, 2024 to Jan 29, 2025
- RAUM · $284M to $335MJan 31, 2024 to Jan 29, 2025
- Accounts · 878 to 1,072Mar 6, 2023 to Jan 31, 2024
- Charity clients · 3 to 4Mar 6, 2023 to Jan 31, 2024
- HNW clients · 3 to 2Mar 6, 2023 to Jan 31, 2024
- Discretionary RAUM · $190M to $233MMar 6, 2023 to Jan 31, 2024
- HNW RAUM · $16.5M to $11.5MMar 6, 2023 to Jan 31, 2024
- Individual RAUM · $170M to $218MMar 6, 2023 to Jan 31, 2024
- Non-discretionary RAUM · $35.7M to $50.4MMar 6, 2023 to Jan 31, 2024
- Pension RAUM · $35.7M to $50.4MMar 6, 2023 to Jan 31, 2024
- RAUM · $225M to $284MMar 6, 2023 to Jan 31, 2024
- Advisory activities · 3 to 4Feb 2, 2023 to Mar 6, 2023
- Accounts · 905 to 878Nov 10, 2022 to Feb 2, 2023
- Charity clients · 2 to 3Nov 10, 2022 to Feb 2, 2023
- Individual clients · 410 to 440Nov 10, 2022 to Feb 2, 2023
- Discretionary RAUM · $192M to $190MNov 10, 2022 to Feb 2, 2023
- HNW RAUM · $17.0M to $16.5MNov 10, 2022 to Feb 2, 2023
- Individual RAUM · $172M to $170MNov 10, 2022 to Feb 2, 2023
- Non-discretionary RAUM · $32.7M to $35.7MNov 10, 2022 to Feb 2, 2023
- Pension RAUM · $32.7M to $35.7MNov 10, 2022 to Feb 2, 2023
Signals
1 dated events
- M••• F•••••••• G•••• filed its initial SEC registration (Form ADV)Mar 5, 2019 · 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
- Business phone
- 218-844-9109reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- mannfinancialmn.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (218) 844-9109reportedpublic record, Form ADV, Feb 3, 2026
- Contact form
- mannfinancialmn.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- mannfinancialmn.com/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
- $198Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026