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Former SEC-registered adviserFormer SEC adviser

Former SEC-registered adviser, reporting $36,484 of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$36,484
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
Not applicable
Private clients
100% of RAUM, $36,484
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
What we can say about this record

We hold 5 Form ADV filings for this adviser, the latest 3.6 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 304242 · SEC 801-120183 · 5 filingsShow
CRD 304242SEC 801-120183First filing on the tape Dec 17, 2020, latest Mar 13, 2023IAPD
RAUM
$36,484
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$36,484 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$36,484 as of Mar 13, 2023
Dec 17, 2020$29,014 then
HNW client RAUM$34,930 as of Mar 31, 2022
Dec 17, 2020$29,014 then
State-registered IARs (5.B.3)2 as of Mar 13, 2023
Dec 17, 20202 then
Employees (5.A)2 as of Mar 13, 2023
Dec 17, 20202 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 13, 2023; every figure names its basis
RAUM per advisor
$18,242derivedRAUM 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
$36,484derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived2 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, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$36,484100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      • P•••••••• W••••••• B•••••• · Owner, Chief Executive Officer, Chief Financial Officer, Chief Compliance Officercontrol
        since 05/2019 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • St. Louis Park, MN1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 3 to 1
        Mar 31, 2022 to Mar 13, 2023
      • Discretionary RAUM · $34,930 to $36,484
        Mar 31, 2022 to Mar 13, 2023
      • HNW RAUM · 34930.0 to unset
        Mar 31, 2022 to Mar 13, 2023
      • Individual RAUM · $0 to $36,484
        Mar 31, 2022 to Mar 13, 2023
      • Pooled vehicle RAUM · 0.0 to unset
        Mar 31, 2022 to Mar 13, 2023
      • RAUM · $34,930 to $36,484
        Mar 31, 2022 to Mar 13, 2023
      • Discretionary RAUM · $29,014 to $34,930
        Feb 25, 2021 to Mar 31, 2022
      • HNW RAUM · $29,014 to $34,930
        Feb 25, 2021 to Mar 31, 2022
      • RAUM · $29,014 to $34,930
        Feb 25, 2021 to Mar 31, 2022
      Signals
      1 dated events
      • ••• Locked
        Dec 17, 2020 · 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