DFX Intelligence

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

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 100m 1b

C••••••• I••••••••• F•••••••• G••••• L••

CRD 122575

WEBSTER, NY

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Search this name across graphs

Data as of Feb 23, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:35 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 5
On other graphs: 0
Observed: Nov 30, 2011 to Feb 23, 2026
41 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=0.97 fund_share=0.02 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $175M••• Locked
Discretionary RAUM: $170M
Private client RAUM: $170Mderived••• Locked
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $34.9Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J•••• B•••• C•••••••••	Chartered Financial Analyst	WEBSTER, NY	21	24	1	no
W•••••• R•••••• S••••••	n/a	WEBSTER, NY	11	18

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
R•••• M••••••• C•••••• F•••• L•••	Hedge Fund	$3.0M	Feb 23, 2026	14	Mar 6, 2015	reported	n/a

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••••• E••••••••• A•	Member	C	yes	12/2009	Nov 30, 2011	Nov 7, 2024
C••••••••• J••••• B••••	CHIEF EXECUTIVE OFFICER	D	yes	09/2022	Nov 30, 2011	Nov 7, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
COLORADO SPRINGS	Co	United States	3	no
GREENWOOD VILLAGE	Co	United States	2	no

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	$175M	$137M	27.9%	$109M	17.2%	6	5	2	2

Relationships

Advises (1)

→ R•••• M••••••• C•••••• F•••• L•••Private fundHedge Fund, IA
Mar 6, 2015 to presentfactForm ADV

Registered with (6)

← A•••• J•••• S••••••Advisorregistration: current employment
Feb 13, 2026 to presentfactForm ADV
← L•••••• A•• S••••Advisorregistration: current employment
Jan 20, 2021 to presentfactForm ADV
←

Dated events

Order

Occurred
23 Feb 2026
Ria ownership band change2 events
C••••••• I••••••••• F•••••••• G••••• L••: ria ownership band change, 2 events, on 23 Feb 2026
- ••• Locked
- ••• Locked
Occurred
5 Nov 2024
Advisor changed firm
••• Locked
Form ADV
Occurred
22 Sep 2022
Control person joined2 events
C••••••• I••••••••• F•••••••• G••••• L••: control person joined, 2 events, on 22 Sep 2022
- ••• Locked
- ••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 30, 2011
Last observed: Feb 23, 2026 7 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.

All 15 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 23, 2016	$97.5M	$95.8M	6	3	n/a	1	$1.0M
2014	Mar 4, 2015	$30.9M	$30.9M	3	2	n/a	n/a	n/a
2013	Mar 28, 2014	$61.1M	$61.0M	3	1	n/a	n/a	n/a
2012	Mar 11, 2013	$92.4M	$92.1M	4	2	n/a	n/a	n/a
2011	Mar 23, 2012	$130M	$128M	n/a	n/a	n/a	n/a	n/a