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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

S•••••••• W••••• M••••••••• L••

CRD 148779

POCATELLO, ID

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:3b4f0062-9996-a564-47ed-37829b1f3d4c

Data as of Jul 12, 2024 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 34
Dated events: 14
On other graphs: 0
Observed: Mar 16, 2012 to Jul 12, 2024
33 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $229MItem 5.F on the latest filing (2024-07-12); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $229M
Private client RAUM: $229MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C•••••••• C•••••• F••• I• L••	Other Private Fund	$2.0M	Nov 28, 2023	15	Mar 31, 2023	reported	021-457935

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
C••••••••• C•••••• A••••••• L••	Member	B	yes	04/2010	May 2, 2012	Jul 12, 2024
E••••• F••••• E••••• T••••	CONTROLS THE E••••• F••••• F••••••• T•••• (A GRANTOR TRUST)	E	yes	10/2014	Mar 28, 2018

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
F•••••••• S••••••• L••	n/a	Former SEC adviser	$1.3B	N	yes	n/a

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

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

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
2023	$229M	$203M	12.5%	$172M	10.0%	11	10	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
M•••• F•••••••• A•••••••	4	Mar 14, 2025	Mar 14, 2025	POCATELLO, ID	Firm absorbed	RIA to RIA	57.1%
F•••••••• S••••••• L••	3	Mar 14, 2025

Relationships

Affiliated with (2)

← F•••••••• S••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ F•••••••• S••••••• L••Registered adviserother investment adviser, common control
factForm ADV

Controls (10)

← R••••••• B••••• D••••OwnerTRUSTEE, ownership code E, individual
Mar 16, 2012 to presentfactForm ADV
← E•••••• G•••• C•••OwnerCO-TRUSTEE, ownership code D, individual

Dated events

Occurred
May 2, 2025
Left the SEC roster
S•••••••• W••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $229.0M)
Form ADVobserved 7 days ago
$229M
Occurred
Mar 14, 2025
Firm absorbed
S•••••••• W••••• M••••••••• L••'s advisors moved to M•••• F•••••••• A••••••• (Pocatello, ID): 4 of 7 registered, on the same day
Form ADVobserved 7 days ago
4 advisors
Occurred
Mar 14, 2025
Team lift-out
3 advisors left S•••••••• W••••• M••••••••• L•• (Pocatello, ID) for F•••••••• S••••••• L•• on the same day
Form ADVobserved 7 days ago
3 advisors

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3b4f0062-9996-a564-47ed-37829b1f3d4c
First observed: Mar 16, 2012
Last observed: Jul 12, 2024 26 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.