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F•••••• F•••••••• A••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

F•••••• F•••••••• A••••••• I•••

CRD 145865

RIVERTON, WY

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Search this name across graphsid dfx:ria:22c539c8-6b1b-9161-02a5-0c8c1875d55b

Data as of Mar 23, 2018 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Mar 23, 2018 to Mar 23, 2018
1 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: former SEC adviserderivedabsent from the latest SEC roster
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 2
Employees: 2
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
SEC number: 801-68756
CRD: 145865

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J•••• D•••• P•••••	n/a	RIVERTON, WY	3	28	2	no
K••••••• A•• P•••••	n/a	RIVERTON, WY	3	18

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
P•••••• J••••• D••••	Cco	Na	yes	07/2017	Mar 23, 2018	Mar 23, 2018
P•••••• K•••••••• A••	Ceo	E	yes	09/2007	Mar 23, 2018

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
J•••• D•••• P•••••	n/a	n/a	n/a	Y	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017	Mar 23, 2018	n/a	n/a	2	2	0	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

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	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	n/a	n/a	n/a	n/a	n/a	2	n/a	0	n/a

Relationships

Registered with (2)

← J•••• D•••• P•••••Advisorregistration: previous registration
Jul 2, 2013 to Dec 31, 2017factForm ADV
← K••••••• A•• P•••••Advisorregistration: previous registration
Feb 12, 2010 to Dec 31, 2017factForm ADV

Controls (2)

← P•••••• J••••• D••••OwnerCCO, ownership code NA, individual
Mar 23, 2018 to presentfactForm ADV
← P•••••• K•••••••• A••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:22c539c8-6b1b-9161-02a5-0c8c1875d55b
First observed: Mar 23, 2018
Last observed: Mar 23, 2018 103 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.