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
T•• W••••• G•••• • A••••• B• C•••• • A•••••••••
Legal name T•• W••••• G••••• L••
Latest filing Jan 14, 2026
First filing on the tape Dec 15, 2020 · 23 filings
SEC status approved since Jan 14, 2021
RAUM
$711M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$711M individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$59.3M
derived; firm RAUM over IAPD count
Employees
12
10 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$711M as of Jan 14, 2026
Jan 21, 2022$422M then
HNW client RAUM$549M as of Jan 14, 2026
Jan 21, 2022$299M then
State-registered IARs (5.B.3)10 as of Jan 14, 2026
Jan 21, 20227 then
Employees (5.A)12 as of Jan 14, 2026
Jan 21, 202210 then
Private funds: no history
RAUM +25% over the last fiscal year+25% a year over threeIARs 10 to 10
Practice profile
derived from the filing of Jan 14, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $59.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 49derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $286,008derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%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
- 6.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.7%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $674MreportedItem 5.I
- Custody
- $800,000, 8 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
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$549M77%
- Individuals$162M23%
- Individual clients
- 314reported
- HNW clients
- 277reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2,486reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $800,000 for 8 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
12 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••• C•••••••• H••••••• | Eden Prairie, Mn | Jan 15, 2021 | 13 y | 1 |
| M•••••• K••• E•••Certified Financial Planner | Eden Prairie, Mn | Jan 15, 2021 | 21 y | 1 |
| D••••• M••••• J••••••Certified Financial Planner | Eden Prairie, Mn | Jan 15, 2021 | 10 y | 1 |
| P••• M•••••• B••••••Certified Financial Planner | Tucson, Az | Jan 15, 2021 | 28 y | 2 |
| A••••• B•••• C••••Certified Financial Planner | Eden Prairie, Mn | Feb 22, 2021 | 25 y | 1 |
| A••• F•••• C•••• | F••••Lin, Tn | Sep 29, 2021 | 12 y | 1 |
| J•••• C••••• K•••••• | Eden Prairie, Mn | Apr 18, 2022 | 13 y | 0 |
| J••• C••••••••• A••••••Certified Financial Planner | Eden Prairie, Mn | Jun 20, 2024 | 16 y | 0 |
| D••• D•••• G•••••• | Eden Prairie, Mn | Jan 2, 2026 | 10 y | 0 |
| B••••••• J•••• T•••••• | F••••Lin, Tn | Jan 29, 2026 | 10 y | 1 |
| J•••• A•••••••• F••••• | Eden Prairie, Mn | Jul 10, 2026 | 11 y | 0 |
| G•••• B•••••• | Eden Prairie, Mn | Aug 19, 2026 | 16 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- B••••••• J•••• T•••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jan 29, 2026 · Affiliated broker-dealer or bank to independent RIA
- A••• F•••• C•••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Sep 29, 2021 · Affiliated broker-dealer or bank to independent RIA
- A••••• B•••• C•••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Feb 22, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- M•••••• K••• E••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jan 15, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- P••• M•••••• B•••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jan 15, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- D••••• M••••• J•••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jan 15, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- P•••• C•••••••• H••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jan 15, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 7 joined from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jul 7, 2021 · Eden Prairie, Mn
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• A•••• F•••• · Cfo / Chief Compliance Officercontrolsince 01/2021 · owns 5% to 10%
- C••••• A•••••• B•••• · Owner / Financial Plannercontrolsince 01/2021 · owns 75% or more
- E•••• M••••••• K••• · Director Of Wealthsince 07/2022 · owns 5% to 10%
- J••••••• D•••••• M••••• · Ownersince 12/2023 · owns less than 5%
- M••••••• K••••• R•••• · Director Of Client Servicessince 07/2022 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Eden Prairie, Mn · principal | 11 | 4 | 0 | ||
| F••••Lin, Tn | 5 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 2,419 to 2,486Nov 11, 2025 to Jan 14, 2026
- HNW clients · 220 to 277Nov 11, 2025 to Jan 14, 2026
- Individual clients · 334 to 314Nov 11, 2025 to Jan 14, 2026
- Discretionary RAUM · $561M to $707MNov 11, 2025 to Jan 14, 2026
- HNW RAUM · $390M to $549MNov 11, 2025 to Jan 14, 2026
- Individual RAUM · $177M to $162MNov 11, 2025 to Jan 14, 2026
- Non-discretionary RAUM · $5.9M to $3.6MNov 11, 2025 to Jan 14, 2026
- RAUM · $567M to $711MNov 11, 2025 to Jan 14, 2026
- Financial planning clients · 0 to 0Feb 6, 2025 to Nov 11, 2025
- Accounts · 2,132 to 2,419Jan 24, 2024 to Jan 21, 2025
- HNW clients · 160 to 220Jan 24, 2024 to Jan 21, 2025
- Individual clients · 357 to 334Jan 24, 2024 to Jan 21, 2025
- Assets in custody · $910,000 to $800,000Jan 24, 2024 to Jan 21, 2025
- Employees · 11 to 12Jan 24, 2024 to Jan 21, 2025
- Discretionary RAUM · $453M to $561MJan 24, 2024 to Jan 21, 2025
- HNW RAUM · $306M to $390MJan 24, 2024 to Jan 21, 2025
- Individual RAUM · $153M to $177MJan 24, 2024 to Jan 21, 2025
- Non-discretionary RAUM · $6.3M to $5.9MJan 24, 2024 to Jan 21, 2025
- RAUM · $460M to $567MJan 24, 2024 to Jan 21, 2025
- Accounts · 1,887 to 2,132Jun 30, 2023 to Jan 24, 2024
- Advisory employees · 9 to 10Jun 30, 2023 to Jan 24, 2024
- HNW clients · 152 to 160Jun 30, 2023 to Jan 24, 2024
- Individual clients · 312 to 357Jun 30, 2023 to Jan 24, 2024
- Assets in custody · $900,000 to $910,000Jun 30, 2023 to Jan 24, 2024
- Employees · 10 to 11Jun 30, 2023 to Jan 24, 2024
- State-registered IARs · 9 to 10Jun 30, 2023 to Jan 24, 2024
- Discretionary RAUM · $355M to $453MJun 30, 2023 to Jan 24, 2024
- HNW RAUM · $247M to $306MJun 30, 2023 to Jan 24, 2024
- Individual RAUM · $116M to $153MJun 30, 2023 to Jan 24, 2024
- Non-discretionary RAUM · $8.6M to $6.3MJun 30, 2023 to Jan 24, 2024
- RAUM · $363M to $460MJun 30, 2023 to Jan 24, 2024
- Accounts · 1,883 to 1,887Feb 1, 2023 to Feb 8, 2023
- HNW clients · 151 to 152Feb 1, 2023 to Feb 8, 2023
- Individual clients · 304 to 312Feb 1, 2023 to Feb 8, 2023
- HNW RAUM · $245M to $247MFeb 1, 2023 to Feb 8, 2023
- Individual RAUM · $115M to $116MFeb 1, 2023 to Feb 8, 2023
- Non-discretionary RAUM · $5.8M to $8.6MFeb 1, 2023 to Feb 8, 2023
- RAUM · $360M to $363MFeb 1, 2023 to Feb 8, 2023
- State-registered IARs · 7 to 9Sep 9, 2022 to Jan 24, 2023
- Accounts · 1,794 to 1,883Sep 9, 2022 to Jan 24, 2023
Signals
2 dated events
- T•• W••••• G•••• • A••••• B• C•••• • A••••••••• reported RAUM $711.0M, up 25% from $566.7M (2025-11-11 to 2026-01-14)Jan 14, 2026 · RAUM change · derived
- T•• W••••• G•••• • A••••• B• C•••• • A••••••••• filed its initial SEC registration (Form ADV)Dec 15, 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.
How to reach
public business contact points only, each with its source
- Website
- WEALTHGROUP.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 952-937-9423reportedpublic record, Form ADV, Jan 14, 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
- $59.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026