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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Former SEC-registered adviser

M•••• • P•••• V•••••• C••••••

Former SEC-registered adviserSt. Paul, MinnesotaCRD 314864SEC 801-121812IAPD
Legal name M•••• • P•••• P•••••• C•••••• M••••••••• L••
Latest filing Mar 31, 2023
First filing on the tape Jun 21, 2021 · 6 filings
RAUM
$19.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
44
19 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$19.2M gross assets
History
6 filings and snapshots on the tape
RAUM$19.2M as of Mar 31, 2023
Mar 31, 2022$15.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)13 as of Mar 31, 2023
Mar 31, 202212 then
Employees (5.A)44 as of Mar 31, 2023
Mar 31, 202246 then
Private funds1 as of Mar 31, 2023
Mar 31, 20221 then
RAUM +21% over the last fiscal yearIARs 12 to 13
Practice profile
derived from the filing of Mar 31, 2023; every figure names its basis
RAUM per advisor
$1.5MderivedRAUM 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
$19.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.4derivedItem 5.A over advisors
Advisors per office
6.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+21%derivedbetween the last two annual amendments
Advisor growth, one year
+8.3%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
yesreportedItem 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
  • 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$19.2M100%
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
$0 for 0 clientsreported
Compensation
% of AUM, performancereported
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
      • B••••••••• J•••• C•••• · Chief Investment Officercontrol
        since 06/2021 · owns less than 5%
      • G••••••••• M••••••• M••••••••• · Vice Presidentcontrol
        since 04/2022 · owns less than 5%
      • H•••••••• M•••• L•••• · Presidentcontrol
        since 06/2021 · owns less than 5%
      • M••••• R•••••• W•••••• · Chief Compliance Officer,Vice President And Secretarycontrol
        since 06/2021 · owns less than 5%
      • O•••••••• L•••• A••••• · Treasurercontrol
        since 06/2021 · owns less than 5%
      Entity owners
      • M•••• • P•••• · Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • St. Paul, MN1 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 18 to 19
        Dec 9, 2022 to Mar 31, 2023
      • BD registered reps · 2 to 3
        Dec 9, 2022 to Mar 31, 2023
      • Assets in custody · $15.9M to $0
        Dec 9, 2022 to Mar 31, 2023
      • Employees · 46 to 44
        Dec 9, 2022 to Mar 31, 2023
      • Insurance-licensed employees · 12 to 13
        Dec 9, 2022 to Mar 31, 2023
      • State-registered IARs · 12 to 13
        Dec 9, 2022 to Mar 31, 2023
      • Discretionary RAUM · $15.9M to $19.2M
        Dec 9, 2022 to Mar 31, 2023
      • Pooled vehicle RAUM · $15.9M to $19.2M
        Dec 9, 2022 to Mar 31, 2023
      • RAUM · $15.9M to $19.2M
        Dec 9, 2022 to Mar 31, 2023
      • Business name · M•••• • P•••• P•••••• C•••••• M••••••••• L•• to M•••• • P•••• V•••••• C••••••
        Mar 31, 2022 to May 6, 2022
      • Accounts · 0 to 1
        Sep 24, 2021 to Mar 31, 2022
      • Advisory employees · 16 to 18
        Sep 24, 2021 to Mar 31, 2022
      • Pooled vehicle clients · unset to 1.0
        Sep 24, 2021 to Mar 31, 2022
      • Assets in custody · unset to 15855000.0
        Sep 24, 2021 to Mar 31, 2022
      • Custody of client assets · false to true
        Sep 24, 2021 to Mar 31, 2022
      • Employees · 45 to 46
        Sep 24, 2021 to Mar 31, 2022
      • Insurance-licensed employees · 10 to 12
        Sep 24, 2021 to Mar 31, 2022
      • Financial planning clients · 0 to unset
        Sep 24, 2021 to Mar 31, 2022
      • State-registered IARs · 10 to 12
        Sep 24, 2021 to Mar 31, 2022
      • Discretionary RAUM · $0 to $15.9M
        Sep 24, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · unset to 15855000.0
        Sep 24, 2021 to Mar 31, 2022
      • RAUM · $0 to $15.9M
        Sep 24, 2021 to Mar 31, 2022
      Signals
      9 dated events
      • Robert A••••• Adams (Chief Investment Officer, Executive Vice President And Director) no longer on Schedule A of M•••• • P•••• V•••••• C•••••• (listed 2022-12-09, absent 2023-03-31)
        Mar 31, 2023 · Control person left · inference
      • Earl Glenn J•••son (Senior Vice President, Director Of Portfolio Management, And Director) no longer on Schedule A of M•••• • P•••• V•••••• C•••••• (listed 2022-12-09, absent 2023-03-31)
        Mar 31, 2023 · Control person left · inference
      • Vincent Kevin Earley (Vice President, Investment Manager And Director) no longer on Schedule A of M•••• • P•••• V•••••• C•••••• (listed 2022-12-09, absent 2023-03-31)
        Mar 31, 2023 · Control person left · inference
      • M••• J••••• M••••• (Vice President, Manager Equity Analysts, Director) no longer on Schedule A of M•••• • P•••• V•••••• C•••••• (listed 2022-12-09, absent 2023-03-31)
        Mar 31, 2023 · Control person left · inference
      • M••••••••• M•••••• G••••••••• (Chief Operating Officer) appeared on Schedule A of M•••• • P•••• V•••••• C••••••
        May 6, 2022 · Control person joined · fact
      • Carola Andrea Stimmel (Chief Compliance Officer) no longer on Schedule A of M•••• • P•••• V•••••• C•••••• (listed 2022-03-31, absent 2022-05-06)
        May 6, 2022 · Control person left · inference
      • James Peter J•••son (Vice President And Investment Manager) no longer on Schedule A of M•••• • P•••• V•••••• C•••••• (listed 2021-09-24, absent 2022-03-31)
        Mar 31, 2022 · Control person left · inference
      • David Allen Steinkopf (Vice President And Investment Manager) no longer on Schedule A of M•••• • P•••• V•••••• C•••••• (listed 2021-09-24, absent 2022-03-31)
        Mar 31, 2022 · Control person left · inference
      • M•••• • P•••• P•••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Jun 21, 2021 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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