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CRD 147351
SCOTTSDALE, AZ
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| J•••• N••••• R••••••• | n/a | SCOTTSDALE, AZ | 11 | 12 | 1 | no |
| J••••• C••••••••• G••••••• | n/a | Scottsdale, AZ | 7 | 31 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| D•••• M••••••• J•••• | Cco | Na | yes | 06/2026 | Aug 19, 2026 | Aug 19, 2026 |
| L••• W••••••• D•••••• | Member | Na | yes | 06/2025 | Aug 19, 2026 | Aug 19, 2026 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| n/a | n/a | n/a | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 4 | 1 | 3 | 7.1% | 1 | 1 | 0 | 11 | 4 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $1.2B | $582M | 108.3% | $395M | 45.3% | 18 | 11 | 0 | 1 |
| no |
| T•••••• T••••• S••••••• | Certified Financial Planner | SCOTTSDALE, AZ | 3 | 11 | n/a | no |
| W•••••• H••••••• L••• | n/a | SCOTTSDALE, AZ | 2 | 12 | 1 | no |
| C••• S••••• M•••••• | Certified Financial Planner|Chartered Financial Consultant|Chartered Financial Analyst | SCOTTSDALE, AZ | 1 | 17 | 1 | no |
| R•••••• A••• S••••• | Certified Financial Planner | SCOTTSDALE, AZ | 1 | 29 | 1 | no |
| Z•••••• K••••• P••••• | Certified Financial Planner | Scottsdale, AZ | 1 | 13 | 1 | no |
| C•••• M•••• D••••• | n/a | Scottsdale, AZ 85260, AZ | 1 | 11 | 1 | no |
| W•••••• D•••••• L•• | Certified Financial Planner|Chartered Financial Analyst | SCOTTSDALE, AZ | 1 | 22 | 3 | no |
| T•••• R•••••• | n/a | SCOTTSDALE, AZ | 0 | 25 | 1 | no |
| J•••••• E••••• S•••••• | Chartered Financial Analyst | SCOTTSDALE, AZ | 0 | 27 | 2 | no |
| J•••• R••• R•••••• | n/a | SCOTTSDALE, AZ | 0 | 11 | n/a | no |
| R•••••• G••• W••••• | Certified Financial Planner | SCOTTSDALE, AZ | 0 | 13 | 1 | no |
| M•••••• J•••• D••• | Chartered Financial Analyst | Hudson , OH | 0 | 16 | 3 | no |
| J••• R••••• C••••• | n/a | SCOTTSDALE, AZ | 0 | 22 | n/a | no |
| MEMBER STRATEGIC PLANNING |
| C |
| yes |
| 01/2015 |
| Aug 19, 2026 |
| Aug 19, 2026 |
| S•••••• R••••••• A••• | MANAGING MEMBER | D | yes | 05/2008 | Aug 19, 2026 | Aug 19, 2026 |
| Y••••• G••••••• C•••••••• | MANAGING MEMBER / CHIEF COMPLIANCE OFFICER | C | yes | 05/2008 | May 9, 2014 | Dec 24, 2024 |
| $1.1B |
| $1.1B |
| 18 |
| 9 |
| 1 |
| n/a |
| n/a |
| 2024 | Mar 27, 2025 | $582M | $582M | 11 | 6 | 1 | n/a | n/a |
| 2023 | Mar 7, 2024 | $466M | $464M | 9 | 5 | 1 | n/a | n/a |
| 2022 | Feb 16, 2023 | $395M | $394M | 10 | 5 | 0 | n/a | n/a |
| 2021 | Jan 25, 2022 | $412M | $410M | 10 | 5 | 0 | n/a | n/a |
| 2020 | Jan 20, 2021 | $324M | $321M | 9 | 5 | 0 | n/a | n/a |
| 2019 | Feb 6, 2020 | $275M | $272M | 9 | 4 | 0 | n/a | n/a |
| 2018 | Jan 29, 2019 | $213M | $209M | 7 | 4 | 0 | n/a | n/a |
| 2017 | Jan 5, 2018 | $185M | $180M | 6 | 4 | 0 | n/a | n/a |
| 2016 | Feb 7, 2017 | $141M | $137M | 7 | 5 | n/a | n/a | n/a |