DFX Intelligence

R••• W••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered advisermixed wealth managerSEC registeredRAUM 100m 1b

R••• W••••• L••

CRD 109446

ALBUQUERQUE, NM

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:077b8434-9b5c-ef2a-92e7-910738859233

Data as of Jul 10, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 37
Dated events: 11
On other graphs: 0
Observed: Dec 15, 2011 to Jul 10, 2026
49 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: mixed wealth managerderivedprivate_client_share=0.49 fund_share=0.0 institutional_share=0.48 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $869M••• Locked
Discretionary RAUM: $821M
Private client RAUM: $422Mderived••• Locked
Private client share: 49%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 8
RAUM per advisor: $109Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
D••••• B•••••• S••••••	Certified Financial Planner	PHOENIX, AZ \| ALBUQUERQUE, NM	20	20	n/a	no
R•••• A• S•••••••	n/a	ALBUQUERQUE, NM \| PHOENIX, AZ	5	11

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••• S•••••• R•••••	MANAGING PRINCIPAL	A	yes	10/1999	Dec 15, 2011	Dec 20, 2024
H••••••• D••••••• M••••••	Principal	Na	yes	09/2024	Oct 25, 2024	Dec 20, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
R••• L••	n/a	n/a	n/a	Y	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Phoenix	Az	United States	3	no
OKLAHOMA CITY	Ok	United States	1	no
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	3	6

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$869M	$881M	-1.3%	$896M	-1.0%	15	15	4	4

Relationships

Registered with (18)

← L•••• C••••Advisorregistration: current employment
May 27, 2026 to presentfactForm ADV
← S••• A•••• S••Advisorregistration: current employment
May 26, 2026 to presentfactForm ADV
← S•••• A••••• B•••••••••Advisorregistration: current employment
Oct 28, 2024 to presentfactForm ADV
← J•••• R••••• K••••••

Dated events

Occurred
Oct 25, 2024
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Oct 2, 2024
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Oct 2, 2024
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Oct 2, 2024
Control person joined

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:077b8434-9b5c-ef2a-92e7-910738859233
First observed: Dec 15, 2011
Last observed: Jul 10, 2026 2 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.