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.

Firm class

independent wealth managerderivedprivate_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0

Regulatory AUM

$1.1BItem 5.F on the latest filing (2026-06-08); as reported, and an affiliate's assets may be counted again on its own filing

Discretionary RAUM

$1.1B

Private client RAUM

$1.1BderivedItem 5.D individuals plus high net worth individuals

Private client share

97%derivedprivate client RAUM over total RAUM

Advisors on IAPD

4

RAUM per advisor

$272Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book

Employees

19

Advisory employees

3

Offices

0Schedule D 1.F, beyond the principal office

Accounts

5,235

Individual clients

2,208

High net worth clients

310

SEC number

801-72394

CRD

157616

Filings on the tape

34

First filed

Mar 16, 2012

Latest filed

Jun 8, 2026

Organised

Corporation, MS

• Occurred

  Mar 19, 2018
  Regulatory AUM changed

  Financial Concepts reported RAUM $488.4M, up 163% from $185.9M (2018-01-09 to 2018-03-19)

  Form ADVobserved 4 days ago
  $303M

Graph

RIA / Wealth Management

Canonical id

dfx:ria:1f8ea2fc-344a-70e1-6adb-3d15f5f5214d

First observed

Mar 16, 2012

Last observed

Jun 8, 2026 3 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.