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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Former SEC-registered adviser

F••••• A••••••• L••

Former SEC-registered adviserMinneapolis, MinnesotaCRD 343731SEC 801-137182IAPD
Latest filing Sep 16, 2026
First filing on the tape Sep 9, 2026 · 2 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
22
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$0 as of Sep 16, 2026
Sep 9, 2026$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)9 as of Sep 16, 2026
Sep 9, 20269 then
Employees (5.A)22 as of Sep 16, 2026
Sep 9, 202622 then
Private funds: no history
Practice profile
derived from the filing of Sep 16, 2026; every figure names its basis
RAUM per advisor
$0derivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.4derivedItem 5.A over advisors
Advisors per office
9.0derived1 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 individuals, portfolio management for businesses and institutions, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
0reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
9 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
R•••• G••••• D•••••Certified Financial PlannerBloomington, Mn Oct 4, 200630 y0
M•••••• D•••••• C••••••Certified Financial Planner, Chartered Financial ConsultantBloomington, Mn Nov 25, 201327 y0
T••• P••• D•••••Certified Financial PlannerBloomington, Mn Nov 26, 201319 y0
J•••• A•••• I•••••••Bloomington, Mn Dec 16, 201320 y0
E•••••••• W•••••• S•••••Certified Financial PlannerBloomington, Mn Jul 6, 201520 y3
N••••••• R••••• A••••Bloomington, Mn Oct 26, 201812 y0
T••••• J••• D•••Certified Financial PlannerBloomington, Mn Apr 10, 201910 y0
M••• A••••• L•••Bloomington, Mn Apr 5, 202122 y0
M••• J•••• A•••••••Chartered Financial AnalystBloomington, Mn May 11, 202110 y1
Advisor movement
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
      No Schedule A on the extract for this adviser.
      Related persons
      Schedule D 7.A
      No related person reported.
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Minneapolis, Mn · principal990
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Business name · L•••• W••••• A••••••• to F••••• A••••••• L••
        Sep 9, 2026 to Sep 16, 2026
      • Legal name · L•••• W••••• A••••••• LLC to F••••• A••••••• L••
        Sep 9, 2026 to Sep 16, 2026
      • Related adviser · true to unset
        Sep 9, 2026 to Sep 16, 2026
      • Related bank · false to unset
        Sep 9, 2026 to Sep 16, 2026
      • Related broker-dealer · false to unset
        Sep 9, 2026 to Sep 16, 2026
      • Related insurance company · false to unset
        Sep 9, 2026 to Sep 16, 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
      Website
      fathom-advisors.comreportedpublic record, Form ADV, Sep 18, 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
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 15, 2026