DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

L••••••••• F•••••••• A•••••••• L••

CRD 114431

EL PASO, TX

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Search this name across graphsid dfx:ria:29ea4822-8e10-fd77-fcaf-05a412205e63

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:38 AM UTC and rebuilt at most every 15 minutes.

Relationships: 23
Dated events: 4
On other graphs: 0
Observed: Mar 14, 2012 to Mar 31, 2026
29 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=0.77 fund_share=0.0 institutional_share=0.21 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $700M••• Locked
Discretionary RAUM: $700M
Private client RAUM: $543Mderived••• Locked
Private client share: 77%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 12
RAUM per advisor: $58.4Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J•• A•• S•••••	Personal Financial Specialist	EL PASO, TX	23	28	n/a	no
B•••• R•• D•••••••	Certified Financial Planner	EL PASO, TX	21	22	n/a

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L•••••• S••••••• E••••••••	MEMBER / CHIEF FINANCIAL OFFICER / PRESIDENT	B	yes	01/2015	Apr 25, 2014	Apr 16, 2024
D•••••••• B••••• R••	MEMBER / CHIEF COMPLIANCE OFFICER	B	no	01/2016	Mar 14, 2012	Apr 16, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
L••••••••• B•••••• • C••••••	n/a	n/a	n/a	N	yes	n/a

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
0	0	0	0.0%	0	0	0	0	1

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	$700M	$591M	18.6%	$486M	13.0%	5	6	0	0

Relationships

Registered with (14)

← L••••• V•••••Advisorregistration: current employment
Aug 7, 2025 to presentfactForm ADV
← A••••• A•••••• B••••Advisorregistration: current employment
Nov 7, 2024 to presentfactForm ADV
← M•••••• C••••••• K•••Advisorregistration: current employment
Apr 8, 2020 to presentfactForm ADV
← D••••• S•••• S•••••

Dated events

Occurred
Apr 16, 2024
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 20, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 22, 2023
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Oct 5, 2022
Control person left

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:29ea4822-8e10-fd77-fcaf-05a412205e63
First observed: Mar 14, 2012
Last observed: Mar 31, 2026 5 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.