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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

N•••••••• • A••••••••• I••

CRD 107568

RENO, NV

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Search this name across graphsid dfx:ria:244398f8-a777-cf31-3315-602c21ceaefb

Data as of May 11, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 22
Dated events: 6
On other graphs: 0
Observed: Mar 27, 2012 to May 11, 2026
42 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=0.98 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.1BItem 5.F on the latest filing (2026-05-11); 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: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 12
RAUM per advisor

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
L•••• G••• N••••••••	n/a	RENO, NV	32	39	n/a	no
A•••• P••••• K•••••	n/a	RENO, NV	19	34

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
N••••••••• L••••• G•••	CHIEF COMPLIANCE OFFICER, CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER	E	yes	09/1988	May 11, 2026	May 11, 2026

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; showing 15 of 16

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

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	1	-1	8.3%	0	0	0	0	2

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
2025	$1.1B	$951M	15.9%	$661M	18.6%	21	24	0	0

Relationships

Registered with (18)

← T••••• W•••••• D•••••••Advisorregistration: current employment
Jul 18, 2016 to presentfactForm ADV
← B•••••• J••• W•••••••Advisorregistration: current employment
Jun 2, 2015 to presentfactForm ADV
← K•••• R••••• H•••Advisorregistration: previous registration
Mar 7, 2007 to Nov 11, 2009factForm ADV
← J•••• M••••••

Dated events

Occurred
Feb 2, 2026
Advisor changed firm
Robert Funk left N•••••••• • A••••••••• I•• for Bespoke Investment Group, Llc (registered 2024-04-19)
Form ADVobserved 7 days ago
Occurred
Apr 4, 2025
Advisor changed firm
Clayton Harris Kornhauser left N•••••••• • A••••••••• I•• for Fisher Investments (registered 2025-04-08)
Form ADVobserved 7 days ago
Occurred
Mar 28, 2024
Regulatory AUM changed
N•••••••• • A••••••••• I•• reported RAUM $840.1M, up 27% from $661.2M (2023-03-29 to 2024-03-28)
Form ADVobserved 7 days ago
$179M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:244398f8-a777-cf31-3315-602c21ceaefb
First observed: Mar 27, 2012
Last observed: May 11, 2026 4 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.

2025	Apr 21, 2026	$1.1B	$1.1B	21	2	0	n/a	n/a
2024	Mar 27, 2025	$951M	$884M	24	4	0	n/a	n/a
2023	Mar 28, 2024	$840M	$744M	24	4	0	n/a	n/a
2022	Mar 29, 2023	$661M	$528M	24	4	0	n/a	n/a
2021	Mar 21, 2022	$975M	$748M	15	4	0	n/a	n/a
2020	Mar 26, 2021	$990M	$591M	15	4	0	n/a	n/a
2019	Feb 25, 2020	$1.3B	$664M	20	4	0	n/a	n/a
2018	Mar 27, 2019	$1.2B	$627M	33	4	1	n/a	n/a
2017	Mar 28, 2018	$1.5B	$783M	18	3	2	n/a	n/a
2016	Feb 16, 2017	$1.1B	$771M	41	6	n/a	n/a	n/a
2015	Feb 29, 2016	$1.5B	$1.1B	40	10	n/a	n/a	n/a
2014	Feb 26, 2015	$2.2B	$2.1B	41	10	n/a	n/a	n/a
2013	Feb 25, 2014	$2.4B	$2.3B	40	9	n/a	n/a	n/a
2012	Apr 1, 2013	$3.5B	$3.4B	40	8	n/a	n/a	n/a
2011	Mar 27, 2012	$2.8B	$2.7B	n/a	n/a	n/a	n/a	n/a