DFX Intelligence

B•••••••• A•••• M••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

B•••••••• A•••• M••••••••• L••

CRD 143440

RENO, NV

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:2965ee42-9be1-8e27-f87c-6177a556b837

Data as of May 13, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 300
Dated events: 40
On other graphs: 1
Observed: Dec 16, 2011 to May 13, 2026
71 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Real Estate Fundsidentity

B•••••••• A•••• M••••••••• L••

Real estate fund manager · key crd, key sfn adviser, shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.68 fund_share=0.26 institutional_share=0.04 related_bd=false related_bank=false bd_reps=15.0
Regulatory AUM: $7.6B••• Locked
Discretionary RAUM: $7.6B
Private client RAUM: $5.2Bderived••• Locked
Private client share: 68%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 172
RAUM per advisor: $44.1Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
P•••• T••••• B•••••	Chartered Financial Analyst	RENO, NV \| New Canaan, CT	17	23	1	no
P•••• A•••••• R••••••	n/a	RENO, NV \| G••••••••, CT	17	18

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
B•••••••• M••••••••• D••••••••• F••• I• L•	Real Estate Fund	$32.3M	Feb 9, 2021	40	Aug 20, 2017	dropped	021-177876
B•••••••• A••••• P••••••• L•	Hedge Fund	$638,858

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••••• E••••••••• M•••••	SENIOR VP OF FINANCE OF ACCOUNT SERVICES	Na	yes	06/2021	May 13, 2026	May 13, 2026
S•••••••• G••••••• H••••••••	CHIEF EXECUTIVE OFFICER	C	yes	02/2007	May 13, 2026	May 13, 2026

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C••••••••• F••• A•••••••• L••	n/a	Asset manager	$145M	N	yes	n/a
F••• A•••• M•••••••• L••	n/a	Asset manager	$24.8M	Y	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
G••••VILLE	Sc	United States	14	no
Milwaukee	Wi	United States	11	no
H•••LAND	Wi	United States	7	no
G••••••••	Ct	United States	6	no
CORAL GABLES	FL	United States

Regulatory AUM by fiscal year

••• Locked

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

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
22	13	9	7.6%	3	1	0	59	24

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	$7.6B	$6.0B	26.1%	$3.9B	25.3%	236	236	113	107

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
S••••	2	Feb 27, 2026	Apr 29, 2026	MOUNT PLEASANT, SC	Team lift out	RIA to RIA	1.2%
F••••• C•••••• A•••••••• L••	2	Nov 6, 2024	Nov 19, 2024

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
P•••••• C••••••••• W••••• M••••••••• L••	2	Jun 17, 2026	Jun 18, 2026	WEDDINGTON, NC	Team lift out	RIA to RIA	100.0%
M•• I•••••••• S•••••••• L••	3	Nov 21, 2025

Relationships

showing 80 of 300

Registered with (70)

← A•••••• W•••••Advisorregistration: current employment
Sep 10, 2026 to presentfactForm ADV
← L••• E••••• T•••••••Advisorregistration: current employment
Aug 27, 2026 to presentfactForm ADV
← S•••••• A•••• C•••••••••Advisorregistration: current employment
Aug 21, 2026 to presentfactForm ADV
← G•••••• C• S••••

Dated events

5 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Jul 17, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jun 17, 2026
Team lift-out
••• Locked
Form ADVobserved 7 days ago
2 advisors
Occurred
Jun 11, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2965ee42-9be1-8e27-f87c-6177a556b837
First observed: Dec 16, 2011
Last observed: May 13, 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.