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.

SEC-registered adviser

Dakota Wealth, LLC

Independent wealth managerPalm Beach Gardens, FloridaCRD 297987SEC 801-114097website IAPD

Latest filing Aug 11, 2026

First filing on the tape Sep 6, 2018 · 54 filings

SEC status approved since Oct 8, 2018

RAUM

$6.9B

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

95%

$6.6B individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$114M

derived; firm RAUM over IAPD count

Employees

61 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

54 filings and snapshots on the tape

RAUM$6.9B as of Aug 11, 2026

Mar 29, 2019$680M then

HNW client RAUM$4.7B as of Aug 11, 2026

Mar 29, 2019$518M then

State-registered IARs (5.B.3)52 as of Aug 11, 2026

Mar 29, 201912 then

Employees (5.A)91 as of Aug 11, 2026

Mar 29, 201920 then

Private funds1 as of Aug 11, 2026

Mar 22, 20222 then

RAUM +9.6% over the last fiscal year+40% a year over threeIARs 50 to 52offices 19 to 21

Practice profile

derived from the filing of Aug 11, 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
RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)

RAUM per advisor: $114MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 61derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $3.6MderivedHNW RAUM over HNW clients
Average account: $621,983derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 5.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.5derivedItem 5.A over advisors
Advisors per office: 2.8derived22 offices incl. principal (1.F.5)
RAUM growth, one year: +9.6%derivedbetween the last two annual amendments
Advisor growth, one year: +4.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +20%derived
Compensation: percentage of assets, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for pooled vehicles, pension consulting, selection of other advisers, otherreportedItem 5.G
Custody: $1.9B, 1,695 clientsreportedItem 9.A
Ownership: no PE, bank or public-company owner found on Schedule Aderived
Firms absorbed, 24 months: 2derivedhalf or more of a firm's advisors moved here within 14 days
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)
has custody of client cash or bank accounts (9.A.1.a)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$4.7B67%
Individuals$1.9B28%
Pension and profit-sharing plans$297M4.3%
Charitable organizations$52.0M0.7%
Corporations and businesses$3.7M0.1%
Pooled investment vehicles$465,0000.0%

Individual clients: 2,441reported
HNW clients: 1,287reported
Pension plan clients: 14reported
Charitable clients: 12reported
Accounts: 11,161reported
Financial planning clients: 26-50reported
Wrap fee programs: noreported
Custody of client assets: $1.9B for 1,695 clientsreported
Compensation: % of AUM, fixedreported
Class basis: private_client_share=0.95 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

61 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
Peter John Raimondi	Palm Beach Gardens, Fl	Oct 10, 2018	42 y	6
Myranda Jane Obara	Palm Beach Gardens, Fl	Oct 10, 2018	31 y	3
Luke S Baxter	Danvers, Ma	Oct 10, 2018	18 y	1
Jill Debra Rance	Palm Beach Gardens, Fl	Oct 17, 2018	32 y	4
William John Mikus	Palm Beach Gardens, Fl	Oct 17, 2018	32 y	3
Brett William Orvieto	Fort Lauderdale, Fl	Oct 18, 2018	19 y	3
Marilyn Ashley Rios	Palm Beach Gardens, Fl	Feb 19, 2019	21 y	3
Patrick Gavin HahnCertified Financial Planner	Akron, Oh	Jul 16, 2019	14 y	4
Peter Nickel AugustinCertified Financial Planner	Akron, Oh	Jul 16, 2019	12 y	4
Rhys Williams	Palm Beach Gardens, Fl	Oct 9, 2019	13 y	0
Mary Elizabeth Cosentino	Palm Beach Gardens, Fl	May 13, 2020	23 y	0
Matthew Joseph HaddadChartered Financial Analyst	Davidson, Nc	Jul 19, 2020	19 y	1
Robert Glenn Pavlik	Palm Beach Gardens, Fl	Nov 20, 2020	29 y	5
William Joseph Kamery	Syracuse, Ny	Aug 2, 2021	18 y	0
Bridget Ann Cunningham	Palm Beach Gardens, Fl	Aug 10, 2021	33 y	0
John Harmon King	Syracuse, Ny	Sep 24, 2021	22 y	0
Jessie HughesCertified Financial Planner	Palm Beach Gardens, Fl	Oct 14, 2021	10 y	0
Francis Anthony PinenoChartered Financial Analyst	Richmond, Va	Feb 15, 2022	41 y	1
Jeffrey David LevinChartered Financial Analyst	Richmond, Va	Feb 15, 2022	42 y	1
David Gorham Strachan	Kennebunk, Me	May 19, 2022	30 y	0
Brian Suskevich	Palm Beach Gardens, Fl	Jun 30, 2022	11 y	1
Donald Steven LovelessCertified Financial Planner, Chartered Financial Analyst	Palm Beach Gardens, Fl	Jun 30, 2022	43 y	1
Maribeth A. Rector	Billings, Mt	Jun 30, 2022	10 y	1
Joshua Thomas Crossman	Palm Beach Gardens, Fl	Aug 22, 2022	16 y	4
James Kehoe Tonrey	Stillwater, Mn	Jun 1, 2023	44 y	1
Eric Andrew Bratvold	Palm Beach Gardens, Fl	Jun 1, 2023	28 y	1
Thomas Broderick Mullins	Richmond, Va	Aug 16, 2023	19 y	4
Jonathan Davidson Pond	Newton, Ma	Sep 27, 2023	39 y	3
Nicole' Charles Meredith KeaneCertified Financial Planner	Palm Beach Gardens, Fl	Oct 4, 2023	11 y	0
John Charles Goyette	Palm Beach Gardens, Fl	Nov 1, 2023	12 y	3
Jeanna Loydell Montes	Mechanicsburg, Pa	Nov 1, 2023	23 y	5
Jessica Lorraine Elscheid	Mechanicsburg, Pa	Nov 1, 2023	17 y	3
Jeffrey Michael Goyette	Palm Beach Gardens, Fl	Nov 1, 2023	32 y	1
Jeffrey Michael GoyetteCertified Financial Planner	Palm Beach Gardens, Fl	Nov 1, 2023	11 y	1
Gina Koshiol BartellCertified Financial Planner	Sartell, Mn	Jan 2, 2024	27 y	3
Marshall John GramsCertified Financial Planner	Sartell, Mn	Jan 2, 2024	18 y	3
Kurt Stephen DurrwachterCertified Financial Planner	Sartell, Mn	Jan 2, 2024	26 y	1
Samuel John Ronlund	Palm Beach Gardens, Fl	Jan 2, 2024	30 y	6
Louis Anthony Della Valle	Palm Beach Gardens, Fl	Jan 2, 2024	29 y	4
Robin Ann SchaaCertified Financial Planner	Sartell, Mn	Jan 2, 2024	13 y	1

All 61 advisors at Dakota Wealth, LLC

Advisor movement

1 left, 11 joined in 12 months

net +10 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 1.6% of current headcount8 left over 36 months

Left, latest

Bailey O'Brien Fielding to Integrated Wealth Concepts LLC
Sep 22, 2025 · RIA to RIA
Kylie Stevens to Neuberger Berman Bd LLC
Aug 5, 2025 · Other
Amy Beth Armstrong to Persimmon Capital Management
Jul 3, 2025 · RIA to a newly registered adviser
James Todd Lermitte to Persimmon Capital Management
Jul 3, 2025 · RIA to a newly registered adviser
Gregory Scott Horn to Persimmon Capital Management
Jul 3, 2025 · RIA to a newly registered adviser
Timothy Dick to The Fiduciary Alliance
Jan 16, 2025 · RIA to RIA
David James Mcdonald to Twin Lights Capital Management LLC
Oct 11, 2024 · RIA to a state-registered adviser
Lucas Grant Colantoni to Pruco Securities, LLC
Feb 9, 2024 · RIA to affiliated broker-dealer or bank
Carina Shipotofsky Diamond to Dakore Wealth Management, LLC
Jul 10, 2023 · RIA to RIA
Michael Thomas Rasmussen to Kore Advisors LP
Feb 11, 2021 · Other
John Frederick Desimone to Peddock Capital Advisors, LLC
Jan 18, 2021 · RIA to RIA
Patricia Rose Garner to Cwm, LLC
Jan 4, 2021 · RIA to affiliated broker-dealer or bank
David Taucher to Beacon Financial Advisory LLC
Dec 11, 2019 · RIA to RIA

Joined, latest

David L Vladimirou from Strategic Advisers LLC
May 6, 2026 · Affiliated broker-dealer or bank to independent RIA
Matthew Steiger from Columbia Management Investment Advisers, LLC
Apr 7, 2026 · Other
Garrett Douglas Hudson from State Farm Investment Management Corp.
Mar 6, 2026 · Other
Terry Lee Morris from Lindenwold Advisors Inc.
Dec 15, 2025 · RIA to RIA
James David King from Lindenwold Advisors Inc.
Dec 15, 2025 · RIA to RIA
Leon Nicholas Pace from Lindenwold Advisors Inc.
Dec 15, 2025 · RIA to RIA
Jessica Renee Bimonte from Lokken Investment Group, LLC
Nov 3, 2025 · RIA to RIA
Jay Colin Middleton from Lokken Investment Group, LLC
Nov 3, 2025 · RIA to RIA
Carrie Mae Ruark from Lokken Investment Group, LLC
Nov 3, 2025 · RIA to RIA
Sean David Merlonghi from Lokken Investment Group, LLC
Nov 3, 2025 · RIA to RIA
Evan D Hine from Lokken Investment Group, LLC
Nov 3, 2025 · RIA to RIA
Joseph Quintal from Strategic Advisers LLC
Sep 17, 2025 · Affiliated broker-dealer or bank to independent RIA
Ross Patrick Mcwilliams from Gw&K Investment Management, LLC
Sep 2, 2025 · RIA to RIA
Stephanie A Dunbar from Hightower Advisors, LLC
May 1, 2025 · Affiliated broker-dealer or bank to independent RIA
Kurt Stephen Durrwachter from Ledge Wealth
Jan 2, 2024 · RIA to RIA

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 left for Persimmon Capital Management
Jul 3, 2025 · Palm Beach Gardens, Fl

3 joined from Lindenwold Advisors Inc.
Dec 18, 2025 · Reading, Pa · Firm absorbed
5 joined from Lokken Investment Group, LLC
Dec 12, 2025 · Lewes, De · Firm absorbed
3 joined from Ledge Wealth
Mar 19, 2024 · Sartell, Mn · Firm absorbed
2 joined from Ledge Wealth
Feb 29, 2024 · Sartell, Mn
4 joined from Raymond James Financial Services Advisors, Inc
Nov 1, 2023 · Mechanicsburg, Pa
2 joined from Stillwater Investment Management, LLC
Oct 9, 2023 · Stillwater, Mn
3 joined from Loveless Wealth Management, LLC
Jul 28, 2022 · Billings, Mt · Firm absorbed
2 joined from Pineno Levin & Ford Asset Management, Inc.
Feb 16, 2022 · Richmond, Va

Teams out Teams in

Private funds

2 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
Par Fund Spv, LLCno longer reported	Hedge Fund	$972,000	114	Dec 22, 2011
Persimmon Absolute Return Master Fund, LP	Hedge Fund	$465,000	18	Dec 22, 2011

Owners and control persons

Schedule A and B, latest filing

Leslie Arsenault Metz · Chief Operating Officer, General Counselcontrol
since 07/2025 · owns less than 5%
S Luke Baxter · Chief Technology Officercontrol
since 03/2023 · owns less than 5%
Marie Kayla Berg · Chief Compliance Officercontrol
since 04/2021 · owns less than 5%
Scott Gregory Horn · Chief Development Officercontrol
since 07/2021 · owns less than 5%
Paul Bryan Keller · Presidentcontrol
since 07/2025 · owns less than 5%
Michael Timothy Melly · Chief Investment Officercontrol
since 07/2025 · owns less than 5%
John Peter Raimondi · Chief Executive Officercontrol
since 05/2018 · owns less than 5%

Entity owners

Dakota Wealth Management, LLC · Managing Member
direct · owns 75% or more

Related persons

Schedule D 7.A

Dakore Wealth Management, LLC
investment advisernRAUM $76.6M
Dakota Tax Services, LLC
insurancen
Persimmon Gp II, LLC
pooled vehicle sponsory

Advisers that list Dakota Wealth, LLC as a related person

172934 y
310618 n

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left
Palm Beach Gardens, Fl · principal	60	14	0
Mechanicsburg, Pa	5	0	0
Lewes, De	5	5	0
Sartell, Mn	5	0	0
Akron, Oh	4	0	0
Billings, Mt	4	1	0
Richmond, Va	4	1	0
Stillwater, Mn	4	1	0
Reading, Pa	3	3	0
Fort Lauderdale, Fl	3	0	0
Syracuse, Ny	3	0	0
Newington, Nh	2	0	0
Newton, Ma	2	0	0
Danvers, Ma	2	0	1
Mansfield, Ma	2	0	0
Blue Bell, Pa	0	0	0
Bedford, Nh	0	0	0

Post-acquisition retention

advisors of absorbed firms still registered here after the move

Firms absorbed: 6 since 2015, 2 in 24 monthsderived
Advisors acquired: 25derived
Still registered after 90 days: 92% of 25derived
After 180 days: 92% of 25derived
After 365 days: 88% of 17derived
After 730 days: 88% of 17derived
Team lift-outs after: 1derivedteams that left this firm within two years of an absorption

Lower bound: a person who left the industry is on neither side of the tape, and a re-registration to an affiliated CRD of the same group counts as a departure.

Offices

Schedule D 1.F, the 25 largest

Danvers, MA7 employees
Sartell, MN5 employees
Mechanicsburg, PA4 employees
Akron, OH4 employees
Richmond, VA3 employees
Billings, MT3 employees
Syracuse, NY3 employees
Blue Bell, PA2 employees
Stillwater, MN2 employees
Fort Lauderdale, FL2 employees
Hilton Head, SC1 employees
Bedford, NH1 employees
Fairfax, VA1 employees
, 1 employees
Mansfield, MA1 employees
Newton, MA1 employees
Palm Beach, FL1 employees

ADV anomalies

2 against comparable advisers; where to look, not conclusions

control person changedChange between filings · filing Aug 11, 2026
MELLY, TIMOTHY, MICHAEL (CHIEF INVESTMENT OFFICER) appeared on Schedule A between the filings of 2023-03-21 and 2026-08-11
peers: independent wealth managers, $5B to $20B (289)
control person changedChange between filings · filing Aug 11, 2026
HORN, GREGORY, SCOTT (CHIEF DEVELOPMENT OFFICER) left Schedule A between the filings of 2023-03-21 and 2026-08-11
peers: independent wealth managers, $5B to $20B (289)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 9,786 to 11,161
Nov 3, 2025 to Mar 24, 2026
Advisory employees · 50 to 61
Nov 3, 2025 to Mar 24, 2026
Advisory activities · 7 to 6
Nov 3, 2025 to Mar 24, 2026
Corporate clients · 8 to 9
Nov 3, 2025 to Mar 24, 2026
HNW clients · 1,082 to 1,287
Nov 3, 2025 to Mar 24, 2026
Individual clients · 2,031 to 2,441
Nov 3, 2025 to Mar 24, 2026
Pension plan clients · 17 to 14
Nov 3, 2025 to Mar 24, 2026
Assets in custody · $2.1B to $1.9B
Nov 3, 2025 to Mar 24, 2026
Employees · 78 to 91
Nov 3, 2025 to Mar 24, 2026
Financial planning clients · 11-25 to 26-50
Nov 3, 2025 to Mar 24, 2026
State-registered IARs · 50 to 52
Nov 3, 2025 to Mar 24, 2026
Other offices · 18 to 21
Nov 3, 2025 to Mar 24, 2026
Discretionary RAUM · $6.3B to $6.9B
Nov 3, 2025 to Mar 24, 2026
HNW RAUM · $4.5B to $4.7B
Nov 3, 2025 to Mar 24, 2026
Individual RAUM · $1.5B to $1.9B
Nov 3, 2025 to Mar 24, 2026
Non-discretionary RAUM · $7.3M to $8.7M
Nov 3, 2025 to Mar 24, 2026
Pension RAUM · $259M to $297M
Nov 3, 2025 to Mar 24, 2026
Pooled vehicle RAUM · $11.8M to $465,000
Nov 3, 2025 to Mar 24, 2026
RAUM · $6.3B to $6.9B
Nov 3, 2025 to Mar 24, 2026
Other offices · 17 to 18
Aug 8, 2025 to Nov 3, 2025
Other offices · 19 to 17
Jun 5, 2025 to Aug 8, 2025
Financial planning clients · 11-25 to 11-25
Apr 2, 2025 to Jun 5, 2025
Accounts · 9,080 to 9,786
Oct 7, 2024 to Apr 2, 2025
Advisory employees · 54 to 50
Oct 7, 2024 to Apr 2, 2025
Charity clients · 13 to 12
Oct 7, 2024 to Apr 2, 2025
HNW clients · 1,055 to 1,082
Oct 7, 2024 to Apr 2, 2025
Individual clients · 1,968 to 2,031
Oct 7, 2024 to Apr 2, 2025
Pension plan clients · unset to 17.0
Oct 7, 2024 to Apr 2, 2025
Assets in custody · $63.0M to $2.1B
Oct 7, 2024 to Apr 2, 2025
Employees · 84 to 78
Oct 7, 2024 to Apr 2, 2025
Insurance-licensed employees · 1 to 0
Oct 7, 2024 to Apr 2, 2025
State-registered IARs · 54 to 50
Oct 7, 2024 to Apr 2, 2025
Other offices · 21 to 19
Oct 7, 2024 to Apr 2, 2025
Discretionary RAUM · $6.1B to $6.3B
Oct 7, 2024 to Apr 2, 2025
HNW RAUM · $4.6B to $4.5B
Oct 7, 2024 to Apr 2, 2025
Individual RAUM · $1.4B to $1.5B
Oct 7, 2024 to Apr 2, 2025
Non-discretionary RAUM · $6.1M to $7.3M
Oct 7, 2024 to Apr 2, 2025
Pension RAUM · $5.9M to $259M
Oct 7, 2024 to Apr 2, 2025
Pooled vehicle RAUM · $18.6M to $11.8M
Oct 7, 2024 to Apr 2, 2025
RAUM · $6.1B to $6.3B
Oct 7, 2024 to Apr 2, 2025

Signals

43 dated events

Lindenwold Advisors Inc.'s advisors moved to Dakota Wealth, LLC (Reading, PA): 3 of 3 registered, on the same day
Dec 18, 2025 · Firm absorbed (people side) · derived
Lokken Investment Group, LLC's advisors moved to Dakota Wealth, LLC (Lewes, DE): 5 of 5 registered, on the same day
Dec 12, 2025 · Firm absorbed (people side) · derived
Bailey O'Brien Fielding left Dakota Wealth, Llc for Integrated Wealth Concepts Llc (registered 2025-10-15)
Sep 22, 2025 · Advisor changed firm · fact
Kylie Stevens left Dakota Wealth, Llc for Neuberger Berman Bd Llc (registered 2025-08-15)
Aug 5, 2025 · Advisor changed firm · fact
Amy Beth Armstrong left Dakota Wealth, Llc for Persimmon Capital Management (registered 2025-06-18)
Jul 3, 2025 · Advisor changed firm · fact
2 advisors left Dakota Wealth, LLC (Palm Beach Gardens, FL) for Persimmon Capital Management on the same day
Jul 3, 2025 · Team lift-out · derived
James Todd Lermitte left Dakota Wealth, Llc for Persimmon Capital Management (registered 2025-06-18)
Jul 3, 2025 · Advisor changed firm · fact
Gregory Scott Horn left Dakota Wealth, Llc for Persimmon Capital Management (registered 2025-05-29)
Jul 3, 2025 · Advisor changed firm · fact
Timothy Dick left Dakota Wealth, Llc for The Fiduciary Alliance (registered 2025-03-27)
Jan 16, 2025 · Advisor changed firm · fact
David James Mcdonald left Dakota Wealth, Llc for Twin Lights Capital Management Llc (registered 2024-09-30)
Oct 11, 2024 · Advisor changed firm · fact
Dakota Wealth, Llc reported 54 state-registered advisory representatives, up from 38 (2024-01-05 to 2024-03-19)
Mar 19, 2024 · Advisor headcount change · derived
Dakota Wealth, Llc reported RAUM $5.3B, up 109% from $2.5B (2024-01-05 to 2024-03-19)
Mar 19, 2024 · RAUM change · derived
Ledge Wealth's advisors moved to Dakota Wealth, LLC (Sartell, MN): 3 of 3 registered, on the same day
Mar 19, 2024 · Firm absorbed (people side) · derived
2 advisors left Ledge Wealth (Sartell, MN) for Dakota Wealth, LLC on the same day
Feb 29, 2024 · Team lift-out · derived
Lucas Grant Colantoni left Dakota Wealth, Llc for Pruco Securities, Llc (registered 2024-03-05)
Feb 9, 2024 · Advisor changed firm · fact
4 advisors left Raymond James Financial Services Advisors, Inc (Mechanicsburg, PA) for Dakota Wealth, LLC within 5 days
Nov 1, 2023 · Team lift-out · derived
2 advisors left Stillwater Investment Management, LLC (Stillwater, MN) for Dakota Wealth, LLC on the same day
Oct 9, 2023 · Team lift-out · derived
Shipotofsky Carina Diamond (Chief Growth Officer) no longer on Schedule A of Dakota Wealth, Llc (listed 2023-06-15, absent 2023-07-17)
Jul 17, 2023 · Control person left · inference
Carina Shipotofsky Diamond left Dakota Wealth, Llc for Dakore Wealth Management, Llc (registered 2020-10-01)
Jul 10, 2023 · Advisor changed firm · fact
S Luke Baxter (Chief Technology Officer) appeared on Schedule A of Dakota Wealth, Llc
Mar 21, 2023 · Control person joined · fact
Dakota Wealth, Llc reported RAUM $2.5B, up 31% from $2.0B (2022-10-05 to 2023-03-21)
Mar 21, 2023 · RAUM change · derived
Leslie Arsenault Metz (Associate General Counsel) appeared on Schedule A of Dakota Wealth, Llc
Sep 9, 2022 · Control person joined · fact
Michael Reed (Chief Operating Officer And Managing Partner) no longer on Schedule A of Dakota Wealth, Llc (listed 2022-08-18, absent 2022-09-09)
Sep 9, 2022 · Control person left · inference
Seth Honowitz (Elected Manager) no longer on Schedule A of Dakota Wealth, Llc (listed 2022-08-18, absent 2022-09-09)
Sep 9, 2022 · Control person left · inference
Alicia Caufield (Elected Manager) no longer on Schedule A of Dakota Wealth, Llc (listed 2022-08-18, absent 2022-09-09)
Sep 9, 2022 · Control person left · inference
Francis Peter Mawn (Elected Manager) no longer on Schedule A of Dakota Wealth, Llc (listed 2022-08-18, absent 2022-09-09)
Sep 9, 2022 · Control person left · inference
Loveless Wealth Management, LLC's advisors moved to Dakota Wealth, LLC (Billings, MT): 3 of 3 registered, on the same day
Jul 28, 2022 · Firm absorbed (people side) · derived
2 advisors left Pineno Levin & Ford Asset Management, Inc. (Richmond, VA) for Dakota Wealth, LLC within 8 days
Feb 16, 2022 · Team lift-out · derived
Dakota Wealth, Llc reported RAUM $1.8B, up 26% from $1.4B (2021-07-16 to 2021-09-30)
Sep 30, 2021 · RAUM change · derived
Scott Gregory Horn (Chief Development Officer) appeared on Schedule A of Dakota Wealth, Llc
Sep 30, 2021 · Control person joined · 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/dakota-wealth-managementreportedpublic record, Form ADV, Sep 18, 2026
Website: dakotawm.comreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone: (561) 774-8101reportedpublic record, Form ADV, Aug 11, 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: $114Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026