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

V••• L••• C••••••• L••

Independent wealth managerEdina, MinnesotaCRD 341142SEC 801-135693IAPD
Latest filing Jul 6, 2026
First filing on the tape Feb 26, 2026 · 4 filings
SEC status approved since Mar 31, 2026
RAUM
$180M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$180M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$90.2M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$180M as of Jul 6, 2026
Feb 26, 2026$0 then
HNW client RAUM$180M as of Jul 6, 2026
Jun 17, 2026$180M then
State-registered IARs (5.B.3)2 as of Jul 6, 2026
Feb 26, 20261 then
Employees (5.A)3 as of Jul 6, 2026
Feb 26, 20261 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 6, 2026; every figure names its basis
Archetypes, each a printed rule
  • 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
  • UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
RAUM per advisor
$90.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$18.0MderivedHNW RAUM over HNW clients
Average account
$7.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 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, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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
  • 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)
  • 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
  • High-net-worth individuals$180M100%
  • Individuals$185,6450.1%
Individual clients
n/areported
HNW clients
10reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
25reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
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
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
C••• P••••••••Edina, MnMar 31, 202615 y0
C••••• J••• L•••••••••Chartered Financial AnalystEdina, MnApr 15, 202613 y0
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
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • L••••••••• C•••••• J••• · Chief Investment Officercontrol
        since 02/2026 · owns less than 5%
      • P••••••••• C••• · President, Chief Executive Officer, And Chief Compliance Officercontrol
        since 02/2026 · owns less than 5%
      Entity owners
      • V••• L•••• L•• · Owner
        direct · 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
      OfficeAdvisorsJoinedLeftTeams outForming
      Edina, Mn · principal220
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 0 to 25
        Apr 14, 2026 to Jun 17, 2026
      • Advisory activities · 1 to 2
        Apr 14, 2026 to Jun 17, 2026
      • HNW clients · unset to 10.0
        Apr 14, 2026 to Jun 17, 2026
      • Assets in custody · unset to 0.0
        Apr 14, 2026 to Jun 17, 2026
      • Custody of client assets · false to true
        Apr 14, 2026 to Jun 17, 2026
      • Employees · 2 to 3
        Apr 14, 2026 to Jun 17, 2026
      • Financial planning clients · to 0
        Apr 14, 2026 to Jun 17, 2026
      • Discretionary RAUM · $0 to $180M
        Apr 14, 2026 to Jun 17, 2026
      • HNW RAUM · unset to 180169727.0
        Apr 14, 2026 to Jun 17, 2026
      • Individual RAUM · unset to 185645.0
        Apr 14, 2026 to Jun 17, 2026
      • RAUM · $0 to $180M
        Apr 14, 2026 to Jun 17, 2026
      • Advisory employees · 1 to 2
        Feb 26, 2026 to Apr 14, 2026
      • Employees · 1 to 2
        Feb 26, 2026 to Apr 14, 2026
      • State-registered IARs · 1 to 2
        Feb 26, 2026 to Apr 14, 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
      Principal office phone
      612-524-9165reportedpublic record, Form ADV, Jul 6, 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
      $90.2Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026