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
B••••• A•••• A••••••• L••
Latest filing Jan 15, 2026
First filing on the tape Nov 24, 2020 · 12 filings
SEC status approved since Dec 24, 2020
RAUM
$224M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$224M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$112M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$224M as of Jan 15, 2026
Mar 11, 2021$152M then
HNW client RAUM$220M as of Jan 15, 2026
Mar 11, 2021$149M then
State-registered IARs (5.B.3)2 as of Jan 15, 2026
Mar 11, 20211 then
Employees (5.A)4 as of Jan 15, 2026
Mar 11, 20215 then
Private funds: no history
RAUM +12% over the last fiscal year+12% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jan 15, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $112MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 18derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $12.2MderivedHNW RAUM over HNW clients
- Average account
- $2.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.9%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $213M, 28 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$220M98%
- Individuals$4.2M1.9%
- Individual clients
- 17reported
- HNW clients
- 18reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 106reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $213M for 28 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 |
|---|---|---|---|---|
| M•••••• J•••• B•••••• | St. P•••, Mn | Jan 18, 2022 | 26 y | 1 |
| A••••• P••• S•••••Certified Financial Planner | St. P•••, Mn | Nov 1, 2022 | 13 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
- M•••••• J•••• B•••••• from H••••••• C•••••• A•••••••• L••Jan 18, 2022 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• M••••••• J•••• · Managing Membercontrolsince 09/2020 · owns 75% or more
- S•••••• A•••••• P••• · Chief Compliance Officercontrolsince 08/2022 · owns less than 5%
Related persons
Schedule D 7.A
- M• B•••••• • C•••••• P•••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| St P•••, Mn | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 103 to 106Mar 31, 2025 to Jan 15, 2026
- Individual clients · 16 to 17Mar 31, 2025 to Jan 15, 2026
- Assets in custody · $186M to $213MMar 31, 2025 to Jan 15, 2026
- Discretionary RAUM · $200M to $224MMar 31, 2025 to Jan 15, 2026
- HNW RAUM · $196M to $220MMar 31, 2025 to Jan 15, 2026
- Individual RAUM · $4.5M to $4.2MMar 31, 2025 to Jan 15, 2026
- RAUM · $200M to $224MMar 31, 2025 to Jan 15, 2026
- Financial planning clients · unset to Jan 10, 2025 to Mar 31, 2025
- Accounts · 98 to 103Jan 17, 2024 to Jan 10, 2025
- HNW clients · 20 to 18Jan 17, 2024 to Jan 10, 2025
- Individual clients · 14 to 16Jan 17, 2024 to Jan 10, 2025
- Assets in custody · $153M to $186MJan 17, 2024 to Jan 10, 2025
- Discretionary RAUM · $173M to $200MJan 17, 2024 to Jan 10, 2025
- HNW RAUM · $170M to $196MJan 17, 2024 to Jan 10, 2025
- Individual RAUM · $3.1M to $4.5MJan 17, 2024 to Jan 10, 2025
- RAUM · $173M to $200MJan 17, 2024 to Jan 10, 2025
- Assets in custody · $141M to $153MJan 17, 2023 to Jan 17, 2024
- Discretionary RAUM · $159M to $173MJan 17, 2023 to Jan 17, 2024
- HNW RAUM · $156M to $170MJan 17, 2023 to Jan 17, 2024
- Individual RAUM · $2.9M to $3.1MJan 17, 2023 to Jan 17, 2024
- RAUM · $159M to $173MJan 17, 2023 to Jan 17, 2024
- Accounts · 91 to 98Aug 12, 2022 to Jan 17, 2023
- Advisory employees · 1 to 2Aug 12, 2022 to Jan 17, 2023
- HNW clients · 19 to 20Aug 12, 2022 to Jan 17, 2023
- Individual clients · 15 to 14Aug 12, 2022 to Jan 17, 2023
- Assets in custody · $142M to $141MAug 12, 2022 to Jan 17, 2023
- State-registered IARs · 1 to 2Aug 12, 2022 to Jan 17, 2023
- Discretionary RAUM · $162M to $159MAug 12, 2022 to Jan 17, 2023
- HNW RAUM · $159M to $156MAug 12, 2022 to Jan 17, 2023
- Individual RAUM · $2.8M to $2.9MAug 12, 2022 to Jan 17, 2023
- RAUM · $162M to $159MAug 12, 2022 to Jan 17, 2023
- Accounts · 89 to 91Mar 11, 2021 to Mar 9, 2022
- Assets in custody · $129M to $142MMar 11, 2021 to Mar 9, 2022
- Employees · 5 to 4Mar 11, 2021 to Mar 9, 2022
- Discretionary RAUM · $152M to $162MMar 11, 2021 to Mar 9, 2022
- HNW RAUM · $149M to $159MMar 11, 2021 to Mar 9, 2022
- Individual RAUM · $2.4M to $2.8MMar 11, 2021 to Mar 9, 2022
- RAUM · $152M to $162MMar 11, 2021 to Mar 9, 2022
- Accounts · 0 to 89Dec 2, 2020 to Mar 11, 2021
- Charity clients · unset to 0.0Dec 2, 2020 to Mar 11, 2021
Signals
4 dated events
- Paul Andrew Sweere (Chief Compliance Officer) appeared on Schedule A of B••••• A•••• A••••••• L••Aug 12, 2022 · Control person joined · fact
- Scott Mark Barrett (Chief Compliance Officer) no longer on Schedule A of B••••• A•••• A••••••• L•• (listed 2022-03-09, absent 2022-08-12)Aug 12, 2022 · Control person left · inference
- Scott Mark Barrett (Chief Compliance Officer) appeared on Schedule A of B••••• A•••• A••••••• L••Mar 11, 2021 · Control person joined · fact
- B••••• A•••• A••••••• L•• filed its initial SEC registration (Form ADV)Nov 24, 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
- Principal office phone
- 612-372-0090reportedpublic record, Form ADV, Jan 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
- $112Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026