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
U•• D••••••••• W••••• A•••••••
Legal name U•• D••••••••• L••
Latest filing Jun 15, 2026
First filing on the tape Jan 15, 2026 · 3 filings
SEC status approved since Feb 19, 2026
RAUM
$123M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$123M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$61.3M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$123M as of Jun 15, 2026
Jan 15, 2026$113M then
HNW client RAUM$77.3M as of Jun 15, 2026
Jan 15, 2026$67.0M then
State-registered IARs (5.B.3)2 as of Jun 15, 2026
Jan 15, 20262 then
Employees (5.A)3 as of Jun 15, 2026
Jan 15, 20263 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 15, 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
- $61.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 134derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $223,016derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 0.4derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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 feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $3.8M, 5 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$77.3M63%
- Individuals$45.3M37%
- Individual clients
- 206reported
- HNW clients
- 61reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 550reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $3.8M for 5 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| U••• A•••••••• K•••Chartered Financial Analyst | Mahtomedi, Mn | Apr 24, 2019 | 17 y | 1 |
| S•••• K•••Certified Financial Planner | Mahtomedi, Mn | Apr 18, 2020 | 12 y | 0 |
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
- U••• A•••••••• K••• from A••••••••• F•••••••• S•••••••• L••Apr 24, 2019 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••• S•••• · Membercontrolsince 01/2022 · owns 50% to 75%
- K•••• U•••• A•••••••• · Managing Member & Chief Compliance Officercontrolsince 02/2019 · 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 |
|---|---|---|---|---|---|
| Mahtomedi, Mn | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 520 to 550Apr 6, 2026 to Jun 15, 2026
- HNW clients · 54 to 61Apr 6, 2026 to Jun 15, 2026
- Individual clients · 179 to 206Apr 6, 2026 to Jun 15, 2026
- HQ city · MINNETONKA to Apr 6, 2026 to Jun 15, 2026
- HQ state · MN to Apr 6, 2026 to Jun 15, 2026
- Discretionary RAUM · $113M to $123MApr 6, 2026 to Jun 15, 2026
- HNW RAUM · $67.0M to $77.3MApr 6, 2026 to Jun 15, 2026
- Individual RAUM · $46.0M to $45.3MApr 6, 2026 to Jun 15, 2026
- RAUM · $113M to $123MApr 6, 2026 to Jun 15, 2026
Signals
No event on the tape.
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
- c••••••@u•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 763-355-2337reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/uak-diversifiedreportedpublic record, Form ADV, Sep 19, 2026
- Website
- u•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 651-757-5534reportedpublic record, Form ADV, Jun 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
- $61.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026