DFX Intelligence

U•••• C•••••• C••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 100m 1b

U•••• C•••••• C••••••

CRD 110301

TUCSON, AZ

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Data as of Aug 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 1:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 24
Dated events: 7
On other graphs: 0
Observed: Apr 27, 2021 to Aug 27, 2026
13 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: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=13.0
Regulatory AUM: $150M••• Locked
Discretionary RAUM: $3.0M
Private client RAUM: $150Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 9
RAUM per advisor: $16.7Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
F•••••••• B• A•••••	n/a	TUCSON, AZ	19	39	n/a	yes
L•••• R•• F•••••••••	n/a	TUCSON, AZ \| SEGUIN, TX	19	40

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••• F•••••••• B•	DIRECTOR/PRESIDENT/SECRETARY/SHAREHOLDER	D	yes	11/2002	Apr 27, 2021	Dec 11, 2024
A•••••• F•••••••• B•	DP/FINOP/CHIEF COMPLIANCE OFFICER/PRESIDENT/SECRETARY/DIRECTOR	Na	yes	12/1999	Apr 27, 2021	Dec 11, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••••• C••••••• L••	n/a	Asset manager	$1.0M	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 30, 2026

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	1	-1	11.1%	0	0	0	0	4

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	$150M	$177M	-15.3%	$140M	2.3%	13	17	0	0

Relationships

Affiliated with (2)

→ A••••• C••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← A••••• C••••••• L••Registered adviserother investment adviser, broker-dealer, common control
factForm ADV

Registered with (18)

← S••••• D•••• A•••••Advisorregistration: current employment
Dec 12, 2025 to presentfactForm ADV
← J••••• E•••••

Dated events

Order

Occurred
22 May 2026
Advisor changed firm
••• Locked
Form ADV
Occurred
3 Apr 2025
Advisor changed firm
••• Locked
Form ADV
Occurred
5 Feb 2025
Advisor changed firm
••• Locked
Form ADV
Occurred
12 Feb 2024
Advisor changed firm
••• Locked
Form ADV
Occurred
5 Jun 2023
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Apr 27, 2021
Last observed: Aug 27, 2026 28 days 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.