FINANCIAL PERSPECTIVES, INC.

C31
CRD 135549·SEC 801-97343·MINNEAPOLIS, MN
AUM
$1.17B
$1B+
Est. Revenue
$11.7M
@ 1% on AUM
Est. EBITDA
$3.5M
@ 30% margin
Est. Deal Value
$28.0M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
FINANCIAL PERSPECTIVES, INC.
CRD
135549
SEC file #
801-97343
EIN
202751068
DBA names
Financial Perspectives

Economics

AUM
$1.17B
AUM band
$1B+
AUM trajectory
'20'26
$665.4M → $1.17B▲ +75%
Client mix
Individuals Other425
Individuals High Net Worth309
Charitable Organizations2
Corporations1

Operations

Employees (total)
14
Advisory staff (per ADV)
14
Advisory staff (5-yr trend)
'20'26
10 advisors → 14 advisors▲ +40%
Primary office
MINNEAPOLIS MN
Branches

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Financial planningPortfolio mgmt — individualsOther Advisory Services
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
03/25/2026
ADV-W filed at

Compliance

Disclosures (firm)
0
Trademark
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
DUGAN, DANIEL, JAMES
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
4
Control Persons
DUGAN, DANIEL, JAMES
DUGAN, DAVID, WILLIAM
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
FPWEALTH.COM
Rdap Domain Creation Date
2007-07-21T13:14:18Z
Rdap Firm Age Years
19
Rdap Firm Age Band
10-20y
Rdap Registrar
IONOS SE

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0002003287
Edgar Registered
Yes
Edgar Filing Count
28
Edgar First Filing Date
2024-01-10
Edgar Last Filing Date
2026-05-11
Edgar 13f Count
26
Edgar 13f Latest AUM Estimate
Filing Date2026-05-11
Accession0002003287-26-000002

Compliance & brand

Firm Registration Status
active

All other collected signals (17)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
10
Bc Firm Active IA Count
13
Bc Firm IAR Count
13
Custodian Candidates
Full
E*trade4
Fidelity2
Edgar Addresses
Mailing
3300 FERNBROOK LN NSUITE 250MINNEAPOLIS, MN 55447
Business
3300 FERNBROOK LN NSUITE 250MINNEAPOLIS, MN 55447
Edgar EIN
202751068
Edgar Recent Filings
13F-HR2026-05-11 · 0002003287-26-000002
13F-HR2026-01-28 · 0002003287-26-000001
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2026-07-21T13:14:18Z
Rdap Domain Last Changed
2025-07-23T14:46:49Z
Rdap Nameservers
Ns1.inmotionhosting.comNs2.inmotionhosting.comNs3.inmotionhosting.comNs4.inmotionhosting.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Top Owner CRD
2447554
Trust Company Affiliate
No