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
E••••• W••••• A•••••••
Legal name E••••• W••••• A•••••••• L••
Latest filing Apr 1, 2026
First filing on the tape Nov 20, 2025 · 3 filings
SEC status approved since Sep 8, 2025
RAUM
$122M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
88%
$107M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$122M
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$122M as of Apr 1, 2026
Nov 20, 2025$108M then
HNW client RAUM$44.1M as of Apr 1, 2026
Nov 20, 2025$38.6M then
State-registered IARs (5.B.3)1 as of Apr 1, 2026
Nov 20, 20251 then
Employees (5.A)4 as of Apr 1, 2026
Nov 20, 20253 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 1, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $122MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 437derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $801,974derivedHNW RAUM over HNW clients
- Average account
- $121,175derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$63.2M52%
- High-net-worth individuals$44.1M36%
- Pension and profit-sharing plans$12.2M10%
- Charitable organizations$1.6M1.3%
- Corporations and businesses$561,3310.5%
- Individual clients
- 382reported
- HNW clients
- 55reported
- Pension plan clients
- 21reported
- Charitable clients
- 5reported
- Accounts
- 1,004reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.88 fund_share=0.0 institutional_share=0.11 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T•••••• J••• S•••••••Certified Financial Planner | Morris, Mn | Sep 15, 2025 | 32 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
- T•••••• J••• S••••••• from L•• F•••••••• L••Sep 15, 2025 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••••• T••••••• J••• · Chief Compliance Officer & Ceocontrolsince 08/2025 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 994 to 1,004Feb 2, 2026 to Apr 1, 2026
- Advisory employees · 3 to 1Feb 2, 2026 to Apr 1, 2026
- Corporate clients · unset to 1.0Feb 2, 2026 to Apr 1, 2026
- HNW clients · 54 to 55Feb 2, 2026 to Apr 1, 2026
- Individual clients · 396 to 382Feb 2, 2026 to Apr 1, 2026
- Pension plan clients · 20 to 21Feb 2, 2026 to Apr 1, 2026
- Employees · 3 to 4Feb 2, 2026 to Apr 1, 2026
- Discretionary RAUM · $108M to $122MFeb 2, 2026 to Apr 1, 2026
- HNW RAUM · $38.6M to $44.1MFeb 2, 2026 to Apr 1, 2026
- Individual RAUM · $55.2M to $63.2MFeb 2, 2026 to Apr 1, 2026
- Non-discretionary RAUM · $26,207 to $23,842Feb 2, 2026 to Apr 1, 2026
- Pension RAUM · $12.4M to $12.2MFeb 2, 2026 to Apr 1, 2026
- RAUM · $108M to $122MFeb 2, 2026 to Apr 1, 2026
Signals
No event on the tape.
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
- 320-288-4084reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- encorewealthadvisors.netreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 320-288-4084reportedpublic record, Form ADV, Apr 1, 2026
- Contact form
- encorewealthadvisors.net/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- encorewealthadvisors.net/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
- $122Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026