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
C••••• P•••••• W•••••
Legal name D•••••• F••••••••• L••
Latest filing Jul 21, 2026
First filing on the tape Apr 3, 2023 · 10 filings
SEC status approved since May 3, 2023
RAUM
$166M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$165M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$55.2M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$166M as of Jul 21, 2026
Mar 7, 2024$107M then
HNW client RAUM$100M as of Jul 21, 2026
Mar 7, 2024$32.0M then
State-registered IARs (5.B.3)3 as of Jul 21, 2026
Mar 7, 20242 then
Employees (5.A)3 as of Jul 21, 2026
Mar 7, 20242 then
Private funds: no history
RAUM +21% over the last fiscal yearIARs 2 to 3
Practice profile
derived from the filing of Jul 21, 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
- $55.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 61derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.1MderivedHNW RAUM over HNW clients
- Average account
- $398,795derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -44%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$100M60%
- Individuals$65.3M39%
- Corporations and businesses$200,0000.1%
- Individual clients
- 170reported
- HNW clients
- 14reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 415reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••• K••••••••• | St. Louis Park, Mn | Jan 1, 2026 | 24 y | 5 |
| K•••••• D••• D•••••• | St. Louis Park, Mn | Jan 1, 2026 | 38 y | 2 |
| R••• P•••••• N••••• | St. Louis Park, Mn | Jun 23, 2026 | 11 y | 1 |
Advisor movement
0 left, 3 joined in 12 months
net +3 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- R••• P•••••• N••••• from P•••••••• S••••••••• I•••Jun 23, 2026 · Affiliated broker-dealer or bank to independent RIA
- T••• K••••••••• from C••••• A•••••• N••••••• L••Jan 1, 2026 · Affiliated broker-dealer or bank to independent RIA
- K•••••• D••• D•••••• from A••••••••• W••••• P•••••••Jan 1, 2026 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••• K••••••• D••• · Managing Partnercontrolsince 12/2022 · owns 75% or more
- K••••••••• T•••• J••••• · Managing Partner, Coo And Chief Compliance Officercontrolsince 12/2022 · 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 |
|---|---|---|---|---|---|
| St Louis Park, Mn | 3 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Apr 9, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $137,000,000 to $165,500,000, advisors 2 to 2, private clients 326 to 184, offices 0 to 0 (2025-03-27 to 2026-04-09)peers: independent wealth managers, $100M to $500M (5,676)
- client count collapseChange between filings · filing Apr 9, 2026individual and HNW clients (Item 5.D) moved from 326.0 to 184.0 (-44.0%) between the annual amendments of 2025-03-27 and 2026-04-09; the peer median change was +3.0% (3309 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 2.2% percentile
- HNW share shiftChange between filings · filing Apr 9, 2026HNW share of RAUM moved from 34.0% to 60.0% between the annual amendments of 2025-03-27 and 2026-04-09peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Advisory employees · 2 to 3Apr 9, 2026 to Jul 21, 2026
- Employees · 2 to 3Apr 9, 2026 to Jul 21, 2026
- State-registered IARs · 2 to 3Apr 9, 2026 to Jul 21, 2026
- Accounts · 346 to 415Mar 27, 2025 to Feb 27, 2026
- Corporate clients · 0 to 2Mar 27, 2025 to Feb 27, 2026
- HNW clients · 137 to 14Mar 27, 2025 to Feb 27, 2026
- Individual clients · 189 to 170Mar 27, 2025 to Feb 27, 2026
- Discretionary RAUM · $130M to $165MMar 27, 2025 to Feb 27, 2026
- HNW RAUM · $47.0M to $100MMar 27, 2025 to Feb 27, 2026
- Individual RAUM · $90.0M to $65.3MMar 27, 2025 to Feb 27, 2026
- Non-discretionary RAUM · $7.0M to $500,000Mar 27, 2025 to Feb 27, 2026
- RAUM · $137M to $166MMar 27, 2025 to Feb 27, 2026
- Accounts · 315 to 346Feb 26, 2025 to Mar 27, 2025
- HNW clients · 125 to 137Feb 26, 2025 to Mar 27, 2025
- Individual clients · 175 to 189Feb 26, 2025 to Mar 27, 2025
- Financial planning clients · 0 to 0Feb 26, 2025 to Mar 27, 2025
- Discretionary RAUM · $102M to $130MFeb 26, 2025 to Mar 27, 2025
- HNW RAUM · $32.0M to $47.0MFeb 26, 2025 to Mar 27, 2025
- Individual RAUM · $75.0M to $90.0MFeb 26, 2025 to Mar 27, 2025
- Non-discretionary RAUM · $5.0M to $7.0MFeb 26, 2025 to Mar 27, 2025
- RAUM · $107M to $137MFeb 26, 2025 to Mar 27, 2025
- Accounts · 275 to 315Aug 9, 2023 to Mar 7, 2024
- HNW clients · 13 to 125Aug 9, 2023 to Mar 7, 2024
- Individual clients · 125 to 175Aug 9, 2023 to Mar 7, 2024
- Discretionary RAUM · $95.0M to $102MAug 9, 2023 to Mar 7, 2024
- HNW RAUM · $20.0M to $32.0MAug 9, 2023 to Mar 7, 2024
- Non-discretionary RAUM · $10.0M to $5.0MAug 9, 2023 to Mar 7, 2024
- RAUM · $105M to $107MAug 9, 2023 to Mar 7, 2024
- Accounts · 0 to 275Apr 4, 2023 to Aug 9, 2023
- Charity clients · unset to 0.0Apr 4, 2023 to Aug 9, 2023
- Corporate clients · unset to 0.0Apr 4, 2023 to Aug 9, 2023
- HNW clients · unset to 13.0Apr 4, 2023 to Aug 9, 2023
- Individual clients · unset to 125.0Apr 4, 2023 to Aug 9, 2023
- Pension plan clients · unset to 0.0Apr 4, 2023 to Aug 9, 2023
- Pooled vehicle clients · unset to 0.0Apr 4, 2023 to Aug 9, 2023
- Discretionary RAUM · $0 to $95.0MApr 4, 2023 to Aug 9, 2023
- HNW RAUM · unset to 20000000.0Apr 4, 2023 to Aug 9, 2023
- Individual RAUM · unset to 75000000.0Apr 4, 2023 to Aug 9, 2023
- Non-discretionary RAUM · $0 to $10.0MApr 4, 2023 to Aug 9, 2023
- Pension RAUM · unset to 0.0Apr 4, 2023 to Aug 9, 2023
Signals
1 dated events
- C••••• P•••••• W••••• filed its initial SEC registration (Form ADV)Apr 3, 2023 · 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
- gregg@captarprivatewealth.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- jstrub@captarprivatewealth.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 612-347-8668reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 612-268-2008reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 612-347-7816reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- captarprivatewealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 612-347-8668reportedpublic record, Form ADV, Jul 21, 2026
- Contact form
- captarprivatewealth.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- captarprivatewealth.com/teamreportedpublished by the firm, firm site, Sep 16, 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
- $55.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026