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
G•••• R•••• F••••••••
Legal name G•••• R•••• F•••••••• L••
Latest filing Sep 8, 2026
First filing on the tape May 24, 2021 · 18 filings
SEC status approved since Jun 24, 2021
RAUM
$202M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$202M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$67.3M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$202M as of Feb 11, 2026
Feb 28, 2022$115M then
HNW client RAUM$171M as of Feb 11, 2026
Feb 28, 2022$88.7M then
State-registered IARs (5.B.3)2 as of Feb 11, 2026
Feb 28, 20221 then
Employees (5.A)4 as of Feb 11, 2026
Feb 28, 20222 then
Private funds: no history
RAUM +25% over the last fiscal year+19% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Sep 8, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $67.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 45derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $461,048derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 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
- +3.8%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $75.0M, 75 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$171M85%
- Individuals$30.7M15%
- Individual clients
- 80reported
- HNW clients
- 56reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 438reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $75.0M for 75 clientsreported
- Compensation
- % of AUM, hourlyreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• L•• W••••••Certified Financial Planner | Plymouth, Mn | Jul 9, 2021 | 19 y | 5 |
| A••••• L••• R•••••Certified Financial Planner | Plymouth, Mn | Sep 8, 2026 | 15 y | 9 |
| C•••••• L• F•••••••Certified Financial Planner | Plymouth, Mn | Sep 8, 2026 | 10 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- A••••• L••• R••••• to A••••••• P••••••• C•••••••••Sep 1, 2025 · Other
Joined, latest
- A••••• L••• R••••• from S•••••••• B••••••••• L••Sep 8, 2026 · RIA to RIA
- A••••• L••• R••••• from G• F••••••••Jul 10, 2023 · RIA to RIA
- J••••• L•• W•••••• from O•••••••••Jul 9, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••• K•••••••• M•••••• · Chief Compliance Officercontrolsince 12/2022 · owns less than 5%
- W••••••• J•••••• L•• · Presidentcontrolsince 04/2021 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Plymouth, Mn · principal | 3 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 2 to 3Feb 11, 2026 to Sep 8, 2026
- Employees · 4 to 5Feb 11, 2026 to Sep 8, 2026
- Financial planning clients · 101-250 to 101-250Feb 11, 2026 to Sep 8, 2026
- State-registered IARs · 2 to 3Feb 11, 2026 to Sep 8, 2026
- Related adviser · false to unsetFeb 11, 2026 to Sep 8, 2026
- Related bank · false to unsetFeb 11, 2026 to Sep 8, 2026
- Related broker-dealer · false to unsetFeb 11, 2026 to Sep 8, 2026
- Related insurance company · false to unsetFeb 11, 2026 to Sep 8, 2026
- Succession · false to unsetFeb 11, 2026 to Sep 8, 2026
- Accounts · 394 to 438Sep 1, 2025 to Jan 6, 2026
- Advisory employees · 1 to 2Sep 1, 2025 to Jan 6, 2026
- Individual clients · 75 to 80Sep 1, 2025 to Jan 6, 2026
- Assets in custody · $55.3M to $75.0MSep 1, 2025 to Jan 6, 2026
- Employees · 3 to 4Sep 1, 2025 to Jan 6, 2026
- Financial planning clients · 51-100 to 101-250Sep 1, 2025 to Jan 6, 2026
- State-registered IARs · 1 to 2Sep 1, 2025 to Jan 6, 2026
- Discretionary RAUM · $162M to $202MSep 1, 2025 to Jan 6, 2026
- HNW RAUM · $141M to $171MSep 1, 2025 to Jan 6, 2026
- Individual RAUM · $20.7M to $30.7MSep 1, 2025 to Jan 6, 2026
- RAUM · $162M to $202MSep 1, 2025 to Jan 6, 2026
- Advisory employees · 2 to 1Jun 20, 2025 to Sep 1, 2025
- Employees · 4 to 3Jun 20, 2025 to Sep 1, 2025
- Insurance-licensed employees · 1 to 0Jun 20, 2025 to Sep 1, 2025
- State-registered IARs · 2 to 1Jun 20, 2025 to Sep 1, 2025
- Financial planning clients · 51-100 to 51-100Jan 16, 2025 to Jun 20, 2025
- Accounts · 374 to 394Aug 29, 2024 to Jan 16, 2025
- HNW clients · 29 to 56Aug 29, 2024 to Jan 16, 2025
- Individual clients · 86 to 75Aug 29, 2024 to Jan 16, 2025
- Discretionary RAUM · $137M to $162MAug 29, 2024 to Jan 16, 2025
- HNW RAUM · $105M to $141MAug 29, 2024 to Jan 16, 2025
- Individual RAUM · $37.4M to $20.7MAug 29, 2024 to Jan 16, 2025
- Non-discretionary RAUM · $5.9M to $0Aug 29, 2024 to Jan 16, 2025
- RAUM · $142M to $162MAug 29, 2024 to Jan 16, 2025
- HQ city · GOLDEN VALLEY to PLYMOUTHJan 26, 2024 to Aug 29, 2024
- Accounts · 384 to 374Dec 20, 2023 to Jan 26, 2024
- HNW clients · 40 to 29Dec 20, 2023 to Jan 26, 2024
- Individual clients · 70 to 86Dec 20, 2023 to Jan 26, 2024
- Discretionary RAUM · $114M to $137MDec 20, 2023 to Jan 26, 2024
- HNW RAUM · $101M to $105MDec 20, 2023 to Jan 26, 2024
- Individual RAUM · $18.8M to $37.4MDec 20, 2023 to Jan 26, 2024
Signals
3 dated events
- A••••• L••• R••••• left G•••• R•••• F•••••••• for A••••••• P••••••• C••••••••• (registered 2024-03-28)Sep 1, 2025 · Advisor changed firm · fact
- Marland Kingston Hollman (Chief Compliance Officer) appeared on Schedule A of G•••• R•••• F••••••••Sep 5, 2023 · Control person joined · fact
- G•••• R•••• F•••••••• filed its initial SEC registration (Form ADV)May 24, 2021 · 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
- Business email
- info@greatriverfinancial.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 763-231-7581reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/greatriverfinancial/aboutreportedpublic record, Form ADV, Sep 19, 2026
- Website
- greatriverfinancial.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 763-231-7581reportedpublic record, Form ADV, Sep 8, 2026
- Contact form
- greatriverfinancial.com/contact-usreportedpublished 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
- $67.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026