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 |
|---|---|---|---|---|---|---|---|---|
| Cfg Retirement CRD 179516 | Edina, MN | independent RIA | $241M | 100% | 3 | $80.3M | 0 | 0 |
| Psc Capital Partners LLC CRD 165620 | Minneapolis, MN | asset manager | $241M | 0.0% | 0 | n/a | 1 | 6 |
| Jones Kertz & Associates, Inc. CRD 104976 | Blaine, MN | independent RIA | $239M | 98% | 4 | $59.8M | 0 | 0 |
| N•••• A••••••• W••••• A••••••• I••• CRD 297057 | Jordan, MN | mixed wealth | $237M | 25% | 1 | $237M | 0 | 0 |
| N•••••••• C•••••• M••••••••• CRD 146452 | Virginia, MN | independent RIA | $235M | 99% | 3 | $78.3M | 1 | 0 |
| A•• CRD 285739 | Wayzata, MN | institutional | $231M | 0.3% | 1 | $231M | 1 | 0 |
| B••••• A•••• A••••••• L•• CRD 311704 | St. Paul, MN | independent RIA | $224M | 100% | 2 | $112M | 0 | 0 |
| P•••••• J•••• F•••••••• C•• CRD 168228 | Plymouth, MN | independent RIA | $222M | 100% | 2 | $111M | 0 | 0 |
| E••••••• P••••••• CRD 327053 | Minnetonka, MN | independent RIA | $219M | 98% | 5 | $43.7M | 0 | 0 |
| P•••• H•••••••• H••••••••• C••••••• L•• CRD 310044 | Minneapolis, MN | asset manager | $218M | 0.0% | 0 | n/a | 3 | 1 |
| S•••••••• A•••• M••••••••• L••• CRD 306384 | Rochester, MN | independent RIA | $218M | 99% | 11 | $19.8M | 4 | 0 |
| C••••• W••••• G•••• CRD 334995 | Andover, MN | independent RIA | $218M | 98% | 5 | $43.6M | 1 | 0 |
| E•••••• W••••• A•••••••• I••• CRD 300992 | Woodbury, MN | independent RIA | $218M | 100% | 1 | $218M | 0 | 0 |
| P•••••• F•••••••• CRD 288387 | Arden Hills, MN | independent RIA | $217M | 100% | 7 | $31.0M | 1 | 0 |
| R••••••••• • A••••••••• L•• CRD 297583 | Plymouth, MN | independent RIA | $212M | 97% | 4 | $52.9M | 0 | 0 |
| E•••••• S•••••• P•••••• W••••• CRD 311284 | Minneapolis, MN | independent RIA | $203M | 100% | 6 | $33.9M | 0 | 0 |
| G•••• R•••• F•••••••• CRD 314172 | Plymouth, MN | independent RIA | $202M | 100% | 3 | $67.3M | 0 | 0 |
| K••••••• W••••• A•••••••• I••••••••• CRD 153418 | Eagan, MN | independent RIA | $201M | 100% | 3 | $67.1M | 3 | 0 |
| M•• • A••••••••• F•••••••• A••••••• G••••• I••• CRD 297716 | Montevideo, MN | independent RIA | $199M | 93% | 1 | $199M | 1 | 0 |
| M•••••• T•••••• W••••• M••••••••• L•• CRD 285427 | New Prague, MN | independent RIA | $195M | 98% | 4 | $48.7M | 1 | 0 |
| T••••• L•• A•••••••• L•• CRD 159271 | Minneapolis, MN | independent RIA | $193M | 85% | 2 | $96.4M | 0 | 0 |
| T•••••••• W•••••• L•• CRD 322924 | Vadnais Heights, MN | independent RIA | $193M | 100% | 8 | $24.1M | 0 | 0 |
| G• I••••••••• I•• CRD 107782 | Eagan, MN | independent RIA | $192M | 83% | 2 | $96.1M | 0 | 0 |
| T•••••••• P•••••••• L•• CRD 284610 | Edina, MN | independent RIA | $188M | 100% | 2 | $94.2M | 1 | 0 |
| Q••••••••• A•••• M••••••••• L•• CRD 143279 | Minnetonka, MN | independent RIA | $187M | 93% | 2 | $93.7M | 0 | 0 |
| X• C•••• C•••••• M••••••••• L•• CRD 313966 | Minneapolis, MN | asset manager | $184M | 0.0% | 0 | n/a | 0 | 1 |
| W••• F•••••••• G•••• CRD 316409 | Mendota Heights, MN | independent RIA | $182M | 100% | 3 | $60.8M | 0 | 0 |
| V••• L••• C••••••• L•• CRD 341142 | Edina, MN | independent RIA | $180M | 100% | 2 | $90.2M | 0 | 0 |
| W••••• • A••••••••• I••• CRD 159879 | Jackson, MN | independent RIA | $180M | 53% | 3 | $60.1M | 1 | 0 |
| W••••• • A••••••••• I••• CRD 310349 | St. Paul, MN | independent RIA | $180M | 93% | 4 | $44.9M | 0 | 0 |
| K••• W••••• M••••••••• L•• CRD 154830 | White Bear Township, MN | independent RIA | $172M | 100% | 1 | $172M | 0 | 0 |
| T••••• A••••••• CRD 310222 | Bloomington, MN | independent RIA | $170M | 99% | 3 | $56.6M | 0 | 0 |
| F•••• A••••••• CRD 165244 | Plymouth, MN | independent RIA | $166M | 94% | 15 | $11.0M | 2 | 0 |
| C••••• P•••••• W••••• CRD 325537 | St. Louis Park, MN | independent RIA | $166M | 100% | 3 | $55.2M | 0 | 0 |
| B••••••••• C•••••• CRD 147447 | Wayzata, MN | independent RIA | $155M | 100% | 3 | $51.8M | 0 | 0 |
| S••••••••• L•• CRD 315184 | Duluth, MN | asset manager | $154M | 0.0% | 0 | n/a | 0 | 2 |
| P•••••• C•••••• M••••••••• I•• CRD 105028 | Wayzata, MN | independent RIA | $148M | 85% | 1 | $148M | 0 | 0 |
| N•••• C•••••• F•••••••• A•••••••• L•• CRD 146626 | Grand Rapids, MN | independent RIA | $146M | 94% | 2 | $73.0M | 0 | 0 |
| S••••••• G•••• L•• CRD 160282 | Wayzata, MN | independent RIA | $146M | 100% | 3 | $48.5M | 1 | 0 |
| T••• C••••• R••••••••• G•••• CRD 154974 | Plymouth, MN | independent RIA | $145M | 100% | 2 | $72.5M | 1 | 0 |
| K••• A••••• F•••••••• C•••• CRD 289094 | St. Paul, MN | independent RIA | $145M | 94% | 1 | $145M | 0 | 0 |
| S••• C•••••• I••• CRD 171057 | Edina, MN | independent RIA | $144M | 99% | 5 | $28.7M | 2 | 0 |
| J••• A••••• I••••••••• C••••••••• L•• CRD 163088 | Edina, MN | independent RIA | $142M | 100% | 2 | $71.1M | 0 | 0 |
| G••• L• G•••••••• CRD 108423 | Eden Prairie, MN | independent RIA | $141M | 88% | 1 | $141M | 0 | 0 |
| L••••••• F••••••••• L•• CRD 136981 | Mankato, MN | independent RIA | $141M | 100% | 2 | $70.5M | 1 | 0 |
| M•• W••••• A•••••••• L•• CRD 287705 | Plymouth, MN | independent RIA | $140M | 100% | 1 | $140M | 0 | 0 |
| T•••• C•••••• P•••••••• L•• CRD 298336 | Minnet••••, MN | other | $140M | 0.0% | 3 | $46.6M | 0 | 1 |
| P•• F•••••••• L•• CRD 172054 | Bloomington, MN | independent RIA | $135M | 88% | 2 | $67.5M | 0 | 0 |
| P••• F•••••••• C••••••••• I••• CRD 291860 | Bloomington, MN | independent RIA | $132M | 100% | 2 | $66.1M | 0 | 0 |
| Y•• W••••• M••••••••• CRD 172591 | Mahtomedi, MN | independent RIA | $127M | 100% | 3 | $42.5M | 3 | 0 |
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275 advisers match.