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
I••••••
Legal name I•••••• F••••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Mar 1, 2024 · 10 filings
SEC status approved since Apr 5, 2024
RAUM
$312M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$305M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$51.9M
derived; firm RAUM over IAPD count
Employees
14
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$312M as of Mar 26, 2026
Apr 24, 2025$231M then
HNW client RAUM$157M as of Mar 26, 2026
Apr 24, 2025$105M then
State-registered IARs (5.B.3)5 as of Mar 26, 2026
Apr 24, 20255 then
Employees (5.A)14 as of Mar 26, 2026
Apr 24, 202510 then
Private funds: no history
RAUM +35% over the last fiscal yearIARs 5 to 5
Practice profile
derived from the filing of Mar 26, 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
- RAUM per advisor
- $51.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 119derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $432,187derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 2.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +35%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, 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
- 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)
- 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$157M50%
- Individuals$148M48%
- Corporations and businesses$4.6M1.5%
- Charitable organizations$2.2M0.7%
- Individual clients
- 647reported
- HNW clients
- 67reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 721reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=5.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• T••• P•••••• | Waseca, Mn | Nov 29, 2017 | 23 y | 2 |
| B•••••• E••••• C•••••• | Waseca, Mn | Nov 29, 2017 | 31 y | 2 |
| J•••••••• P•••• E•••• | Waseca, Mn | Apr 5, 2024 | 12 y | 1 |
| M•••••• P••••• | Waseca, Mn | Apr 5, 2024 | 10 y | 0 |
| G••• F•••• G••••••• | Waseca, Mn | Feb 25, 2025 | 39 y | 2 |
| J••••• J• H••••••••• | Waseca, Mn | Apr 29, 2026 | 10 y | 2 |
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
- J••••• J• H••••••••• from S•••••••• A••••••• L••Apr 29, 2026 · Affiliated broker-dealer or bank to independent RIA
- G••• F•••• G••••••• from T•••• A•••••••• L••Feb 25, 2025 · Affiliated broker-dealer or bank to independent RIA
- S•••• T••• P•••••• from I•• G•••• W••••• M••••••••• L••Apr 5, 2024 · RIA to a newly registered adviser
- B•••••• E••••• C•••••• from I•• G•••• W••••• M••••••••• L••Apr 5, 2024 · RIA to a newly registered adviser
- J•••••••• P•••• E•••• from I•• G•••• W••••• M••••••••• L••Apr 5, 2024 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from I•• G•••• W••••• M••••••••• L••Jun 21, 2024 · Denver, Co
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• B••••••• E••••• · President, Ceo, And Ownercontrolsince 04/2024 · owns less than 5%
- P•••••• M•••••• · Chief Compliance Officercontrolsince 04/2024 · owns less than 5%
- C••••••• B••••••• E••••• · Managing Membercontrolsince 01/2023 · owns 75% or more of K• H••••••• I• L••
- P•••••• M•••••• · Membercontrolsince 07/2023 · owns F of K• H••••••• I• L••
Entity owners
- K• H••••••• I• L•• · Holding Companydirect · 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 |
|---|---|---|---|---|---|
| Waseca, Mn · principal | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Mankato, MN3 employees
- Bloomington, MN1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Mar 26, 2026RAUM (Item 5.F) moved from $230,656,452 to $311,606,497 (+35.0%) between the annual amendments of 2025-04-24 and 2026-03-26; the peer median change was +15.0% (4549 comparable advisers, 90.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,549) · 90% percentile
What changed
consecutive filings, newest first
- Accounts · 739 to 721May 12, 2025 to Mar 26, 2026
- HNW clients · 55 to 67May 12, 2025 to Mar 26, 2026
- Individual clients · 676 to 647May 12, 2025 to Mar 26, 2026
- Employees · 10 to 14May 12, 2025 to Mar 26, 2026
- Financial planning clients · 0 to 1-10May 12, 2025 to Mar 26, 2026
- Discretionary RAUM · $231M to $312MMay 12, 2025 to Mar 26, 2026
- HNW RAUM · $105M to $157MMay 12, 2025 to Mar 26, 2026
- Individual RAUM · $119M to $148MMay 12, 2025 to Mar 26, 2026
- RAUM · $231M to $312MMay 12, 2025 to Mar 26, 2026
- Financial planning clients · 0 to 0Apr 24, 2025 to May 12, 2025
- Accounts · 495 to 739Jul 31, 2024 to Apr 24, 2025
- Advisory employees · 4 to 5Jul 31, 2024 to Apr 24, 2025
- BD registered reps · 4 to 5Jul 31, 2024 to Apr 24, 2025
- Charity clients · 4.0 to unsetJul 31, 2024 to Apr 24, 2025
- Corporate clients · 5.0 to unsetJul 31, 2024 to Apr 24, 2025
- HNW clients · 47 to 55Jul 31, 2024 to Apr 24, 2025
- Individual clients · 439 to 676Jul 31, 2024 to Apr 24, 2025
- Employees · 7 to 10Jul 31, 2024 to Apr 24, 2025
- Insurance-licensed employees · 3 to 0Jul 31, 2024 to Apr 24, 2025
- State-registered IARs · 4 to 5Jul 31, 2024 to Apr 24, 2025
- Discretionary RAUM · $192M to $231MJul 31, 2024 to Apr 24, 2025
- HNW RAUM · $93.5M to $105MJul 31, 2024 to Apr 24, 2025
- Individual RAUM · $91.1M to $119MJul 31, 2024 to Apr 24, 2025
- RAUM · $192M to $231MJul 31, 2024 to Apr 24, 2025
- Accounts · 0 to 495Apr 12, 2024 to Jul 29, 2024
- Charity clients · unset to 4.0Apr 12, 2024 to Jul 29, 2024
- Corporate clients · unset to 5.0Apr 12, 2024 to Jul 29, 2024
- HNW clients · unset to 47.0Apr 12, 2024 to Jul 29, 2024
- Individual clients · unset to 439.0Apr 12, 2024 to Jul 29, 2024
- Discretionary RAUM · $0 to $192MApr 12, 2024 to Jul 29, 2024
- HNW RAUM · $0 to $93.5MApr 12, 2024 to Jul 29, 2024
- Individual RAUM · $0 to $91.1MApr 12, 2024 to Jul 29, 2024
- RAUM · $0 to $192MApr 12, 2024 to Jul 29, 2024
Signals
2 dated events
- 2 advisors left I•• G•••• W••••• M••••••••• L•• (Denver, CO) for I•••••• on the same dayJun 21, 2024 · Team lift-out · derived
- I•••••• filed its initial SEC registration (Form ADV)Mar 1, 2024 · 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 phone
- 507-625-1778reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 507-835-9111reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/I••••••reportedpublic record, Form ADV, Sep 19, 2026
- Website
- I••••••4ME.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 507-835-9111reportedpublic record, Form ADV, Mar 26, 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
- $51.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026