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.

Former SEC-registered adviser

B••• W•••• F•••••••• T••••••••• L••

Former SEC-registered adviserDeephaven, MinnesotaCRD 299471SEC 801-114347IAPD
Latest filing Mar 14, 2024
First filing on the tape Oct 29, 2018 · 19 filings
RAUM
$6.6B
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$6.6B as of Mar 14, 2024
Mar 29, 2019$860M then
HNW client RAUM$0 as of Mar 14, 2024
Mar 29, 2019$0 then
State-registered IARs (5.B.3)0 as of Mar 14, 2024
Mar 29, 20190 then
Employees (5.A)7 as of Mar 14, 2024
Mar 29, 201910 then
Private funds: no history
RAUM -1.0% over the last fiscal year+71% a year over threeIARs 0 to 0offices 0 to 1
Practice profile
derived from the filing of Mar 14, 2024; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$1.3BderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-1.0%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutionsreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Corporations and businesses$5.4B82%
  • Banks and thrifts$1.2B18%
  • Investment companies$13.2M0.2%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, performancereported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Q••••••• A•••• P• · Managing Partnercontrol
        since 10/2018 · owns less than 5%
      • Q••••••• E•••• · Chief Compliance Officer/Directorcontrol
        since 12/2018 · owns less than 5%
      Entity owners
      • B••• W•••• F•••••••• T••••••••• H•••••• C••••••• L•• · Direct Owner
        direct · owns 75% or more
      • V••••• A•••••••• U• C•••• · Member
        indirect · owns 75% or more of B••• W•••• F•••••••• T••••••••• H•••••• C••••••• L••
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 7 to 5
        Aug 24, 2023 to Mar 14, 2024
      • Employees · 8 to 7
        Aug 24, 2023 to Mar 14, 2024
      • Other offices · 0 to 1
        Aug 24, 2023 to Mar 14, 2024
      • Non-discretionary RAUM · $6.7B to $6.6B
        Aug 24, 2023 to Mar 14, 2024
      • RAUM · $6.7B to $6.6B
        Aug 24, 2023 to Mar 14, 2024
      • HQ city · ST LOUIS PARK to DEEPHAVEN
        Mar 20, 2023 to Jun 27, 2023
      • Accounts · 6 to 7
        Oct 21, 2022 to Mar 20, 2023
      • Corporate clients · unset to 0.0
        Oct 21, 2022 to Mar 20, 2023
      • Non-discretionary RAUM · $2.0B to $6.7B
        Oct 21, 2022 to Mar 20, 2023
      • RAUM · $2.0B to $6.7B
        Oct 21, 2022 to Mar 20, 2023
      • Accounts · 4 to 6
        Sep 29, 2021 to Mar 24, 2022
      • Advisory employees · 6 to 4
        Sep 29, 2021 to Mar 24, 2022
      • Employees · 7 to 8
        Sep 29, 2021 to Mar 24, 2022
      • Non-discretionary RAUM · $1.3B to $2.0B
        Sep 29, 2021 to Mar 24, 2022
      • RAUM · $1.3B to $2.0B
        Sep 29, 2021 to Mar 24, 2022
      • Accounts · 3 to 4
        Dec 10, 2020 to Mar 29, 2021
      • Non-discretionary RAUM · $726M to $1.3B
        Dec 10, 2020 to Mar 29, 2021
      • RAUM · $726M to $1.3B
        Dec 10, 2020 to Mar 29, 2021
      • Accounts · 1 to 3
        Jan 31, 2020 to Mar 26, 2020
      • Advisory employees · 5 to 6
        Jan 31, 2020 to Mar 26, 2020
      • Corporate clients · 0.0 to unset
        Jan 31, 2020 to Mar 26, 2020
      • Employees · 10 to 7
        Jan 31, 2020 to Mar 26, 2020
      • Non-discretionary RAUM · $860M to $726M
        Jan 31, 2020 to Mar 26, 2020
      • RAUM · $860M to $726M
        Jan 31, 2020 to Mar 26, 2020
      • HQ city · MINNEAPOLIS to ST LOUIS PARK
        Oct 22, 2019 to Jan 31, 2020
      • Accounts · 0 to 1
        Feb 8, 2019 to Mar 29, 2019
      • Advisory employees · 4 to 5
        Feb 8, 2019 to Mar 29, 2019
      • Charity clients · unset to 0.0
        Feb 8, 2019 to Mar 29, 2019
      • Corporate clients · unset to 0.0
        Feb 8, 2019 to Mar 29, 2019
      • HNW clients · unset to 0.0
        Feb 8, 2019 to Mar 29, 2019
      • Individual clients · unset to 0.0
        Feb 8, 2019 to Mar 29, 2019
      • Pension plan clients · unset to 0.0
        Feb 8, 2019 to Mar 29, 2019
      • Pooled vehicle clients · unset to 0.0
        Feb 8, 2019 to Mar 29, 2019
      • Employees · 4 to 10
        Feb 8, 2019 to Mar 29, 2019
      • HNW RAUM · unset to 0.0
        Feb 8, 2019 to Mar 29, 2019
      • Individual RAUM · unset to 0.0
        Feb 8, 2019 to Mar 29, 2019
      • Non-discretionary RAUM · $0 to $860M
        Feb 8, 2019 to Mar 29, 2019
      • Pension RAUM · unset to 0.0
        Feb 8, 2019 to Mar 29, 2019
      • Pooled vehicle RAUM · unset to 0.0
        Feb 8, 2019 to Mar 29, 2019
      • RAUM · $0 to $860M
        Feb 8, 2019 to Mar 29, 2019
      Signals
      4 dated events
      • B••• W•••• F•••••••• T••••••••• L•• reported RAUM $6.7B, up 230% from $2.0B (2022-10-21 to 2023-03-20)
        Mar 20, 2023 · RAUM change · derived
      • B••• W•••• F•••••••• T••••••••• L•• reported RAUM $2.0B, up 52% from $1.3B (2021-09-29 to 2022-03-24)
        Mar 24, 2022 · RAUM change · derived
      • B••• W•••• F•••••••• T••••••••• L•• reported RAUM $1.3B, up 84% from $726.3M (2020-12-10 to 2021-03-29)
        Mar 29, 2021 · RAUM change · derived
      • B••• W•••• F•••••••• T••••••••• L•• filed its initial SEC registration (Form ADV)
        Oct 29, 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