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.
Firms
SEC-registered investment advisers
One row per CRD, from the adviser’s latest Form ADV. The class is a rule over Item 5.D (where the RAUM sits) and Item 7.A (related broker-dealer or bank); the wirehouses and national broker-dealers are a short curated list. Advisors is the count of representatives IAPD registers through the firm today, which is not the same as the firm’s own Item 5.B answer.
| Firm | HQ | Class | RAUM | Private clients | Advisors | RAUM / advisor | Offices | Private funds |
|---|---|---|---|---|---|---|---|---|
| Efs Advisors CRD 115211 | Cambridge, MN | BD affiliated | $2.4B | 97% | 52 | $46.2M | 25 | 0 |
| Stairway Partners, LLC CRD 133157 | Minneapolis, MN | institutional | $2.4B | 8.8% | 4 | $590M | 0 | 0 |
| Okabena Investment Services Inc CRD 111162 | Minneapolis, MN | mixed wealth | $2.1B | 23% | 4 | $530M | 0 | 10 |
| P•••• • A••••••••• I••••••••• M••••••••• I••• CRD 117962 | Edina, MN | independent RIA | $2.0B | 70% | 17 | $119M | 0 | 2 |
| M•••• G•••• W••••• M••••••••• I••• CRD 148679 | Minnetonka, MN | independent RIA | $2.0B | 75% | 9 | $224M | 0 | 0 |
| J••• F•••••••• A•••••••• L•• CRD 106550 | Bloomington, MN | independent RIA | $2.0B | 98% | 30 | $66.8M | 2 | 0 |
| S•••••••• W••••• M••••••••• L•• CRD 110532 | Edina, MN | independent RIA | $2.0B | 100% | 7 | $285M | 0 | 0 |
| G•••••• P••••••• CRD 158378 | St. Cloud, MN | asset manager | $1.9B | 0.0% | 0 | n/a | 1 | 3 |
| C•••••• M••••••••• A••••••••• I•• CRD 105010 | Minneapolis, MN | independent RIA | $1.9B | 81% | 14 | $134M | 2 | 0 |
| U••• B•••••• A•••••••• L•• CRD 14455 | Saint Paul, MN | BD affiliated | $1.8B | 94% | 1,160 | $1.5M | 174 | 0 |
| C••••• F•••••••• A•••••••• I••• CRD 109890 | Edina, MN | independent RIA | $1.8B | 98% | 12 | $148M | 0 | 0 |
| Y•••• P••••••• M••••••••• L••••• CRD 159991 | Minneapolis, MN | asset manager | $1.8B | 0.0% | 0 | n/a | 2 | 17 |
| I•• F•••••••• A••••••• CRD 157626 | Albert Lea, MN | independent RIA | $1.6B | 77% | 14 | $111M | 2 | 0 |
| S•••••••• W••••• G•••• CRD 284430 | Eden Prairie, MN | independent RIA | $1.5B | 98% | 23 | $66.8M | 7 | 0 |
| N••• C•••••• G••••• I•••••••• L•• CRD 108978 | Plymouth, MN | institutional | $1.5B | 3.1% | 6 | $253M | 0 | 0 |
| M•••••• F•••••••• P••••••• CRD 173790 | St. Cloud, MN | independent RIA | $1.5B | 98% | 9 | $168M | 0 | 0 |
| E•••••••• R•••••••• E••••• M••••••••• C•••••• L• CRD 289890 | Excelsior, MN | asset manager | $1.5B | 0.0% | 0 | n/a | 2 | 2 |
| P••• G•••• F•••••••• G•••• CRD 308193 | Woodbury, MN | independent RIA | $1.5B | 100% | 14 | $107M | 3 | 0 |
| R•••••• W••••• A•••••••• I••• CRD 146616 | Minneapolis, MN | independent RIA | $1.5B | 95% | 43 | $33.9M | 33 | 0 |
| O••••••••• P••••••• CRD 169245 | Edina, MN | asset manager | $1.4B | 0.0% | 1 | $1.4B | 1 | 6 |
| F•••• L•••• A•••• M••••••••• L•• CRD 168899 | Edina, MN | mixed wealth | $1.4B | 28% | 2 | $704M | 1 | 3 |
| A••••••• F•••••••• L•• CRD 113200 | St. Louis Park, MN | independent RIA | $1.4B | 100% | 12 | $114M | 2 | 0 |
| R••• P••• C•••••• CRD 304990 | Plymouth, MN | asset manager | $1.4B | 0.0% | 0 | n/a | 2 | 7 |
| T•••••••• L•• CRD 165448 | Bloomington, MN | asset manager | $1.3B | 0.0% | 0 | n/a | 0 | 19 |
| P•••• S•••••• • C•• CRD 665 | Minneapolis, MN | institutional | $1.3B | 0.0% | 26 | $49.4M | 9 | 0 |
| P••••••• A•••• M••••••••• L•• CRD 136089 | Minneapolis, MN | independent RIA | $1.3B | 94% | 6 | $211M | 0 | 0 |
| G•••• W••••• F•••••••• CRD 308215 | Shoreview, MN | independent RIA | $1.2B | 100% | 25 | $49.4M | 3 | 0 |
| B•••• L••• I••••••••• L•• CRD 334605 | Wayzata, MN | other | $1.2B | 0.0% | 0 | n/a | 0 | 0 |
| L••••••• W••••• C•••••• M••••••••• CRD 105826 | Minneapolis, MN | asset manager | $1.2B | 3.5% | 6 | $195M | 0 | 1 |
| F•••••••• P••••••••• CRD 135549 | Minneapolis, MN | independent RIA | $1.2B | 99% | 14 | $83.4M | 3 | 0 |
| S•••••••• I••••••••• V• L•• CRD 156686 | Minneapolis, MN | asset manager | $1.2B | 0.0% | 0 | n/a | 0 | 11 |
| G••••••• W••••• S••••••••• L•• CRD 167485 | Minneapols, MN | independent RIA | $1.1B | 97% | 5 | $228M | 2 | 0 |
| B••••••• W••••• P•••••••• L•• CRD 324489 | Minnetonka, MN | independent RIA | $1.1B | 99% | 18 | $62.2M | 2 | 0 |
| A•• M•••••• A•••••• M••••••• L•• CRD 162855 | Minneapolis, MN | independent RIA | $1.1B | 58% | 0 | n/a | 1 | 1 |
| B•••••• P•••• C•••••• CRD 332023 | Richfield, MN | independent RIA | $1.1B | 99% | 6 | $185M | 0 | 0 |
| M••••••••• P•••••••• M••••••••• G••••• L•• CRD 129963 | Wayzata, MN | independent RIA | $1.1B | 87% | 3 | $367M | 0 | 0 |
| P••• M••••••• W••••• M••••••••• G•••• CRD 330050 | Minneapolis, MN | independent RIA | $1.1B | 84% | 10 | $107M | 0 | 0 |
| N•••••••• C•••••• CRD 158003 | Minneapolis, MN | asset manager | $1.0B | 0.0% | 0 | n/a | 1 | 6 |
| E•••••• F•••••••• G•••• CRD 137260 | Minneapolis, MN | independent RIA | $1.0B | 100% | 12 | $83.5M | 4 | 0 |
| N•••• S•• C••••••• L•• CRD 133959 | Wayzata, MN | asset manager | $986M | 0.0% | 0 | n/a | 0 | 15 |
| D•• S•••••••• L• CRD 174379 | Minnetonka, MN | asset manager | $944M | 0.0% | 0 | n/a | 1 | 1 |
| G•••••• H••• CRD 299154 | Minneapolis, MN | asset manager | $899M | 0.0% | 0 | n/a | 0 | 3 |
| A•• S••• F•••••••• CRD 323765 | Minneapolis, MN | independent RIA | $882M | 78% | 5 | $176M | 0 | 0 |
| R•••••• O•• C•••••• L•• CRD 286656 | Minneapolis, MN | independent RIA | $875M | 51% | 5 | $175M | 0 | 0 |
| M•••••••• W••••• M••••••••• CRD 282482 | Minneapolis, MN | independent RIA | $872M | 91% | 3 | $291M | 1 | 0 |
| E•••••• C•••••• M••••••••• L• CRD 323379 | Wayzata, MN | asset manager | $854M | 0.0% | 0 | n/a | 0 | 1 |
| B•••••••• F•••••••• P•••••••• I••• CRD 169962 | Bloomington, MN | independent RIA | $853M | 99% | 9 | $94.8M | 0 | 0 |
| T•• A••••••• G••••• L•• CRD 155270 | Minnetonka, MN | independent RIA | $810M | 97% | 9 | $90.0M | 0 | 0 |
| S••••••••• L•• CRD 283582 | Bloomington, MN | asset manager | $784M | 0.0% | 3 | $261M | 0 | 0 |
| D•• C•••••• A•••••••• L•• CRD 332056 | Edina, MN | independent RIA | $780M | 93% | 6 | $130M | 0 | 0 |
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275 advisers match.