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 |
|---|---|---|---|---|---|---|---|---|
| Laurel Wealth Planning CRD 122035 | Edina, MN | independent RIA | $454M | 100% | 6 | $75.6M | 0 | 0 |
| Ulland Investment Advisors, LLC CRD 109610 | Minneapolis, MN | independent RIA | $443M | 100% | 3 | $148M | 0 | 0 |
| Access Financial Services, Inc. CRD 115361 | Minneapolis, MN | independent RIA | $438M | 98% | 4 | $109M | 0 | 0 |
| R••••• A•••• CRD 309238 | Hermantown, MN | independent RIA | $434M | 100% | 4 | $108M | 5 | 0 |
| W•••• P••• C•••••• L•• CRD 108417 | Bloomington, MN | independent RIA | $431M | 78% | 3 | $144M | 1 | 1 |
| A••••••• S•••••••• G•••• CRD 339919 | Plymouth, MN | independent RIA | $408M | 100% | 41 | $10.0M | 13 | 0 |
| N•••••••• A•••• M••••••••• CRD 40258 | Minneapolis, MN | independent RIA | $405M | 98% | 40 | $10.1M | 2 | 0 |
| E•••• F••••••••• L•• CRD 145301 | Red Wing, MN | independent RIA | $404M | 70% | 7 | $57.8M | 3 | 0 |
| W••• F•••••••• G•••• CRD 106617 | Bloomington, MN | independent RIA | $397M | 100% | 3 | $132M | 0 | 0 |
| M••• F•••••••• G•••• CRD 297878 | Detroit Lakes, MN | independent RIA | $396M | 83% | 2 | $198M | 0 | 0 |
| Q••••• H••• A••••••• CRD 288334 | Saint Paul, MN | independent RIA | $395M | 100% | 4 | $98.7M | 0 | 0 |
| D••••••• • C•• CRD 109058 | Minneapolis, MN | independent RIA | $393M | 81% | 4 | $98.2M | 0 | 0 |
| D•••••••• • A••••••••• F•••••••• A•••••••• I••• CRD 165145 | Buffalo, MN | independent RIA | $383M | 100% | 5 | $76.6M | 1 | 0 |
| A•• T•••••• F•••••••• A••••••• CRD 286683 | Coon Rapids, MN | independent RIA | $379M | 97% | 3 | $126M | 0 | 0 |
| F•••••• F•••••••• P••••••• L•• CRD 327560 | Oakdale, MN | independent RIA | $378M | 100% | 4 | $94.5M | 0 | 0 |
| A•••• S••••• CRD 305107 | Eden Prairie, MN | independent RIA | $375M | 100% | 8 | $46.9M | 0 | 0 |
| D••••• • C••••• F•••••••• A••••••• CRD 309512 | Maple Grove, MN | independent RIA | $374M | 100% | 4 | $93.5M | 1 | 0 |
| T••••••• A•••• M••••••••• CRD 105245 | Minneapolis, MN | independent RIA | $365M | 97% | 5 | $73.1M | 0 | 0 |
| I•••• C•••••• L•• CRD 309034 | Minneapolis, MN | asset manager | $365M | 0.0% | 0 | n/a | 0 | 1 |
| C••••• F••••••••• L•• CRD 294766 | Minneapolis, MN | independent RIA | $361M | 100% | 5 | $72.1M | 0 | 0 |
| C••••••••• C•••••• G••••• L• CRD 306590 | Minneapolis, MN | independent RIA | $359M | 82% | 0 | n/a | 0 | 0 |
| S•••• R••• P•••••• T•••••• A•• W••••• M••••••••• L•• CRD 152003 | Cloquet, MN | independent RIA | $356M | 83% | 5 | $71.2M | 1 | 0 |
| F••••••••• CRD 332831 | Maple Grove, MN | independent RIA | $355M | 94% | 5 | $71.0M | 0 | 0 |
| F••••••• F•••••••• G••••• L•• CRD 315329 | Rochester, MN | independent RIA | $352M | 100% | 8 | $44.0M | 3 | 0 |
| L•• CRD 114674 | St. Cloud, MN | independent RIA | $351M | 79% | 7 | $50.2M | 2 | 0 |
| N•••••• I••• CRD 141203 | Minneapolis, MN | independent RIA | $345M | 100% | 12 | $28.7M | 3 | 0 |
| P••••••••• 3•• M••••••••• L•• CRD 319211 | Minnetonka, MN | asset manager | $344M | 0.0% | 0 | n/a | 0 | 3 |
| P••••• F••••• W•••••• L•• CRD 324059 | Bloomington, MN | independent RIA | $342M | 98% | 8 | $42.7M | 1 | 0 |
| G•• F•••••••• M••••••••• I••• CRD 110179 | Plymouth, MN | independent RIA | $332M | 99% | 4 | $83.0M | 0 | 0 |
| C••••••• S••••••••• L•• CRD 7477 | Minneapolis, MN | BD affiliated | $330M | 83% | 26 | $12.7M | 7 | 0 |
| V•••••• P•••• W••••• M••••••••• CRD 167886 | Plymouth, MN | independent RIA | $327M | 100% | 15 | $21.8M | 7 | 0 |
| P••• P•••••• W•••••• L•• CRD 310523 | Wayzata, MN | independent RIA | $326M | 100% | 2 | $163M | 0 | 0 |
| L••••• F•••••••• A••••••• C••••••••• CRD 115384 | Bloomington, MN | independent RIA | $318M | 100% | 2 | $159M | 0 | 0 |
| P•••••••• S••••••••• I• W••••• M••••••••• L•• CRD 110372 | Maple Grove, MN | independent RIA | $314M | 100% | 3 | $105M | 0 | 0 |
| H••••• S••••• P•••••••• L• CRD 298142 | Wayzata, MN | asset manager | $313M | 0.0% | 0 | n/a | 0 | 4 |
| I•••••• CRD 329980 | Waseca, MN | independent RIA | $312M | 98% | 6 | $51.9M | 2 | 0 |
| M• F•••••••• A••••••• • V••••••• F•••••••• CRD 168771 | Chanhassen, MN | independent RIA | $304M | 100% | 13 | $23.4M | 14 | 0 |
| O•••••• C••••••• I••• CRD 112399 | St. Louis Park, MN | independent RIA | $304M | 86% | 21 | $14.5M | 14 | 0 |
| F•• W••••• M••••••••• L•• CRD 300253 | Coon Rapids, MN | independent RIA | $301M | 99% | 4 | $75.3M | 0 | 0 |
| G••••••• W••••• A•••••••• L•• CRD 143254 | St Louis Park, MN | independent RIA | $300M | 99% | 4 | $75.0M | 4 | 0 |
| C••••• W••••• S••••••••• CRD 150458 | Bloomington, MN | independent RIA | $297M | 100% | 5 | $59.4M | 0 | 0 |
| T•••••••• F•••••••• M••••••••• L•• CRD 116543 | Bloomington, MN | independent RIA | $293M | 100% | 2 | $147M | 0 | 0 |
| E••• P•••••••• L•• CRD 165139 | Minneapolis, MN | independent RIA | $291M | 100% | 6 | $48.5M | 0 | 0 |
| G••••••• A•••••••• L•• CRD 152665 | Arden Hills, MN | independent RIA | $289M | 100% | 184 | $1.6M | 165 | 0 |
| E••• W••••• M••••••••• L•• CRD 174136 | Plymouth, MN | independent RIA | $288M | 97% | 4 | $72.0M | 0 | 0 |
| K••• A•••••••• L•• CRD 311320 | Plymouth, MN | independent RIA | $259M | 100% | 6 | $43.2M | 0 | 0 |
| S•••••• R••••••••• A•••••••• L•• CRD 144239 | St Louis Park, MN | independent RIA | $255M | 100% | 5 | $51.0M | 1 | 0 |
| M•• A••••••• S•••••••• L•• CRD 174590 | Maple Grove, MN | independent RIA | $253M | 100% | 4 | $63.3M | 1 | 0 |
| M••••• C••••••• L••• CRD 137228 | Minnetonka, MN | asset manager | $251M | 0.0% | 0 | n/a | 0 | 6 |
| E•••••••• I•••••••• CRD 108048 | E••••••••, MN | independent RIA | $242M | 99% | 1 | $242M | 0 | 0 |
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275 advisers match.