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CRD 169006
COTTONWOOD HEIGHTS, UT
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| B•••• T• W••••• R•••••••• T•••• | Member | B | yes | 01/2019 | Mar 28, 2019 | Mar 28, 2024 |
| T•••••••• T••••• J• | Member | B | yes | 01/2019 | Mar 28, 2019 | Mar 28, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| J••• L• G•••••• | n/a | n/a | n/a | N | no | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| LAKE OSWEGO | Or | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2024 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 5 | -5 | n/a | 0 | 0 | 0 | 0 | 5 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2024 | $385M | $313M | 23.2% | $286M | 10.5% | 5 | 5 | 1 | 1 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| S•••••• F•••••••• G••••• L••••• | 4 | Oct 22, 2025 | Jul 28, 2025 | COTTONWOOD HEIGHTS, UT | Firm absorbed | RIA to RIA | 80.0% |
| Trustee |
| F |
| yes |
| 05/2017 |
| Mar 28, 2019 |
| Mar 28, 2024 |
| W••••• F••••• T•••• | Member | E | yes | 01/2019 | Mar 28, 2019 | Mar 28, 2024 |
| W•••••• B••••• A••••• | Trustee | F | yes | 03/2008 | Mar 11, 2014 | Mar 28, 2024 |
| W•••••• B••••• A••••• | Cco | Na | yes | 01/2014 | Mar 11, 2014 | Mar 28, 2024 |
| $385M |
| $385M |
| 5 |
| 5 |
| 1 |
| n/a |
| n/a |
| 2023 | Mar 28, 2024 | $313M | $313M | 5 | 5 | 1 | n/a | n/a |
| 2022 | Mar 30, 2023 | $260M | $260M | 5 | 5 | 1 | n/a | n/a |
| 2021 | Mar 21, 2022 | $286M | $286M | 5 | 5 | 1 | n/a | n/a |
| 2020 | Mar 29, 2021 | $241M | $233M | 5 | 5 | 1 | n/a | n/a |
| 2019 | Mar 23, 2020 | $221M | $214M | 5 | 5 | 1 | n/a | n/a |
| 2018 | Mar 28, 2019 | $172M | $166M | 5 | 5 | 1 | n/a | n/a |
| 2017 | Mar 29, 2018 | $178M | $177M | 4 | 4 | 1 | n/a | n/a |
| 2016 | Mar 15, 2017 | $137M | $128M | 4 | 4 | n/a | n/a | n/a |
| 2015 | Feb 29, 2016 | $107M | $104M | 4 | 3 | n/a | n/a | n/a |
| 2014 | Feb 17, 2015 | $107M | $102M | 4 | 3 | n/a | n/a | n/a |