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
F•••••••••
Legal name F•••••••• P••••••• N••••••••• C•••
Latest filing Jan 27, 2026
First filing on the tape Sep 4, 2024 · 7 filings
SEC status approved since Oct 16, 2024
RAUM
$355M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$334M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$71.0M
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$355M as of Jan 27, 2026
Feb 10, 2025$289M then
HNW client RAUM$190M as of Jan 27, 2026
Feb 10, 2025$161M then
State-registered IARs (5.B.3)5 as of Jan 27, 2026
Feb 10, 20255 then
Employees (5.A)8 as of Jan 27, 2026
Feb 10, 20258 then
Private funds: no history
RAUM +23% over the last fiscal yearIARs 5 to 5
Practice profile
derived from the filing of Jan 27, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $71.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 82derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $214,809derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.3%derived
- Compensation
- percentage of assets, 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
- Wrap fee program
- $112MreportedItem 5.I
- Custody
- $22.1M, 26 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$190M54%
- Individuals$143M40%
- Corporations and businesses$16.7M4.7%
- Charitable organizations$4.7M1.3%
- Individual clients
- 342reported
- HNW clients
- 70reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 1,653reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $22.1M for 26 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• C• H•••••• | Maple Grove, Mn | Oct 16, 2024 | 10 y | 1 |
| M••••• O••••• B•••••Certified Financial Planner | Maple Grove, Mn | Oct 17, 2024 | 18 y | 0 |
| J•••• M•• H••••••Certified Financial Planner, Chartered Financial Consultant | Maple Grove, Mn | Oct 21, 2024 | 25 y | 2 |
| A•••••••• P• B••••Chartered Financial Analyst | Maple Grove, Mn | Oct 21, 2024 | 12 y | 0 |
| M•••• T•••••• M••••• L•••••••Certified Financial Planner, Chartered Financial Consultant | Maple Grove, Mn | Oct 23, 2024 | 20 y | 2 |
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•••• T•••••• M••••• L••••••• from O••••••• B•• W••••• P•••••••Oct 23, 2024 · RIA to a newly registered adviser
- J•••• M•• H•••••• from O••••••• B•• W••••• P•••••••Oct 21, 2024 · RIA to a newly registered adviser
- J•••• C• H•••••• from O••••••• B•• W••••• P•••••••Oct 16, 2024 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from O••••••• B•• W••••• P•••••••Nov 22, 2024 · Parsippany, Nj
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••• J••••• C• · Chief Compliance Officercontrolsince 08/2024 · owns 50% to 75%
- H••••••• J••••• M•• · Owner, Investment Adviser Representativecontrolsince 08/2024 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Maple Grove, Mn · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Jan 27, 2026custody of client assets (Item 9.A): no on the filing of 2025-08-06, yes on the filing of 2026-01-27peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 1,417 to 1,653Aug 6, 2025 to Jan 27, 2026
- Charity clients · 1 to 2Aug 6, 2025 to Jan 27, 2026
- Corporate clients · 3 to 19Aug 6, 2025 to Jan 27, 2026
- Individual clients · 325 to 342Aug 6, 2025 to Jan 27, 2026
- Pension plan clients · 14.0 to unsetAug 6, 2025 to Jan 27, 2026
- Assets in custody · unset to 22114265.0Aug 6, 2025 to Jan 27, 2026
- Custody of client assets · false to trueAug 6, 2025 to Jan 27, 2026
- Discretionary RAUM · $289M to $355MAug 6, 2025 to Jan 27, 2026
- HNW RAUM · $161M to $190MAug 6, 2025 to Jan 27, 2026
- Individual RAUM · $106M to $143MAug 6, 2025 to Jan 27, 2026
- Pension RAUM · 13931216.0 to unsetAug 6, 2025 to Jan 27, 2026
- RAUM · $289M to $355MAug 6, 2025 to Jan 27, 2026
- HNW RAUM · unset to 161201763.0Dec 18, 2024 to Feb 10, 2025
- Individual RAUM · unset to 105543913.0Dec 18, 2024 to Feb 10, 2025
- Accounts · 0 to 1,417Dec 18, 2024 to Feb 10, 2025
- Advisory employees · 3 to 5Dec 18, 2024 to Feb 10, 2025
- Charity clients · unset to 1.0Dec 18, 2024 to Feb 10, 2025
- Corporate clients · unset to 3.0Dec 18, 2024 to Feb 10, 2025
- HNW clients · unset to 70.0Dec 18, 2024 to Feb 10, 2025
- Individual clients · unset to 325.0Dec 18, 2024 to Feb 10, 2025
- Pension plan clients · unset to 14.0Dec 18, 2024 to Feb 10, 2025
- Employees · 7 to 8Dec 18, 2024 to Feb 10, 2025
- Financial planning clients · 0 to 251-500Dec 18, 2024 to Feb 10, 2025
- State-registered IARs · 3 to 5Dec 18, 2024 to Feb 10, 2025
- Discretionary RAUM · $0 to $289MDec 18, 2024 to Feb 10, 2025
- Pension RAUM · unset to 13931216.0Dec 18, 2024 to Feb 10, 2025
- RAUM · $0 to $289MDec 18, 2024 to Feb 10, 2025
- Wrap assets (manager) · unset to 0.0Nov 4, 2024 to Dec 18, 2024
- Wrap assets (sponsor) · unset to 0.0Nov 4, 2024 to Dec 18, 2024
- Advisory activities · 4 to 5Sep 11, 2024 to Nov 4, 2024
Signals
2 dated events
- 3 advisors left O••••••• B•• W••••• P••••••• (Parsippany, NJ) for F••••••••• on the same dayNov 22, 2024 · Team lift-out · derived
- F••••••••• filed its initial SEC registration (Form ADV)Sep 4, 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 email
- h••••@f•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 763-265-4450reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/financial-planning-navigatorsreportedpublic record, Form ADV, Sep 19, 2026
- Website
- f•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 763-265-4450reportedpublic record, Form ADV, Jan 27, 2026
- Contact form
- f•••••••••.comreportedpublished 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
- $71.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026