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
R••••• A••••
Legal name A•••• F••••••••• L••
Latest filing Sep 9, 2026
First filing on the tape Mar 10, 2025 · 8 filings
SEC status approved since Mar 10, 2025
RAUM
$434M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$434M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$108M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$434M as of Aug 24, 2026
Mar 10, 2025$102M then
HNW client RAUM$374M as of Aug 24, 2026
Mar 10, 2025$74.8M then
State-registered IARs (5.B.3)5 as of Aug 24, 2026
Mar 10, 20251 then
Employees (5.A)5 as of Aug 24, 2026
Mar 10, 20253 then
Private funds: no history
RAUM +327% over the last fiscal yearIARs 1 to 5offices 0 to 5
Practice profile
derived from the filing of Sep 9, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $108MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 47derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $576,004derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 0.7derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +327%derivedbetween the last two annual amendments
- Advisor growth, one year
- +400%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +129%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Wrap fee program
- $252MreportedItem 5.I
- Custody
- $14.6M, 86 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)
- 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$374M86%
- Individuals$59.8M14%
- Individual clients
- 83reported
- HNW clients
- 105reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 753reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $126M sponsored, $126M managedreported
- Custody of client assets
- $14.6M for 86 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T•••• L••• N••••••Certified Financial Planner | Hermantown, Mn | Feb 1, 2021 | 23 y | 4 |
| T••• F••••••• K•••••••••Certified Financial Planner | Hermantown, Mn | Aug 7, 2025 | 10 y | 2 |
| R•••• P•••••• W••••••Certified Financial Planner | Mansfield, Tx | Aug 7, 2025 | 35 y | 4 |
| S•••• E••••• S•••••• | Hermantown, Mn | Aug 7, 2025 | 39 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
- S•••• E••••• S•••••• from S•••••••• F•••••••• C•••••••• L••Aug 7, 2025 · RIA to RIA
- R•••• P•••••• W•••••• from S•••••••• F•••••••• C•••••••• L••Aug 7, 2025 · RIA to RIA
- T••• F••••••• K••••••••• from S•••••••• F•••••••• C•••••••• L••Aug 7, 2025 · RIA to RIA
- T•••• L••• N•••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Feb 1, 2021 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N••••••• T••••• L••• · Managing Member / Ccocontrolsince 08/2020 · owns 25% to 50%
- W••••••• R••••• P•••••• · Managing Membercontrolsince 08/2025 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Hermantown, Mn · principal | 4 | 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
- RAUM up 50 %Change between filings · filing Apr 21, 2026RAUM (Item 5.F) moved from $101,534,281 to $433,731,160 (+327.0%) between the annual amendments of 2025-03-10 and 2026-04-21; the peer median change was +15.0% (4550 comparable advisers, 100.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 100% percentile
- account count surgeChange between filings · filing Apr 21, 2026accounts (Item 5.F.2.f) moved from 233.0 to 753.0 (+223.0%) between the annual amendments of 2025-03-10 and 2026-04-21; the peer median change was +5.0% (3687 comparable advisers, 100.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 100% percentile
What changed
consecutive filings, newest first
- Financial planning clients · 1-10 to 1-10Aug 24, 2026 to Sep 9, 2026
- Related adviser · false to unsetAug 24, 2026 to Sep 9, 2026
- Related bank · false to unsetAug 24, 2026 to Sep 9, 2026
- Related broker-dealer · false to unsetAug 24, 2026 to Sep 9, 2026
- Related insurance company · false to unsetAug 24, 2026 to Sep 9, 2026
- Succession · false to unsetAug 24, 2026 to Sep 9, 2026
- Business name · A•••• F••••••••• L•• to R••••• A••••Feb 10, 2026 to Apr 21, 2026
- Other offices · 4 to 5Feb 10, 2026 to Apr 21, 2026
- Accounts · 233 to 753Dec 17, 2025 to Feb 10, 2026
- Advisory employees · 1 to 5Dec 17, 2025 to Feb 10, 2026
- HNW clients · 35 to 105Dec 17, 2025 to Feb 10, 2026
- Individual clients · 47 to 83Dec 17, 2025 to Feb 10, 2026
- Assets in custody · $134,092 to $14.6MDec 17, 2025 to Feb 10, 2026
- Employees · 3 to 5Dec 17, 2025 to Feb 10, 2026
- Financial planning clients · 0 to 1-10Dec 17, 2025 to Feb 10, 2026
- State-registered IARs · 1 to 5Dec 17, 2025 to Feb 10, 2026
- Other offices · 3 to 4Dec 17, 2025 to Feb 10, 2026
- Discretionary RAUM · $102M to $434MDec 17, 2025 to Feb 10, 2026
- HNW RAUM · $74.8M to $374MDec 17, 2025 to Feb 10, 2026
- Individual RAUM · $26.7M to $59.8MDec 17, 2025 to Feb 10, 2026
- RAUM · $102M to $434MDec 17, 2025 to Feb 10, 2026
- Wrap assets (manager) · $102M to $126MDec 17, 2025 to Feb 10, 2026
- Wrap assets (sponsor) · $102M to $126MDec 17, 2025 to Feb 10, 2026
- Financial planning clients · 0 to 0Mar 10, 2025 to Aug 6, 2025
- Other offices · 0 to 3Mar 10, 2025 to Aug 6, 2025
Signals
1 dated events
- R••••• A•••• reported RAUM $433.7M, up 327% from $101.5M (2025-12-17 to 2026-02-10)Feb 10, 2026 · RAUM change · derived
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/align-financial-llc/aboutreportedpublic record, Form ADV, Sep 18, 2026
- Website
- agileretirementmanagement.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 218-336-2506reportedpublic record, Form ADV, Sep 9, 2026
- Team page
- retireagile.com/teamreportedpublished by the firm, firm site, Sep 17, 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
- $108Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026