DFX Intelligence

5• C•••••• P•••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserbank affiliated wealth managerSEC registeredRAUM 100m 1b

5• C•••••• P•••••••• L••

CRD 290938

COLORADO SPRINGS, CO

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Search this name across graphsid dfx:ria:43b11f37-9a0a-be03-5997-c7f04c92336e

Data as of Jun 12, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 3
On other graphs: 0
Observed: Jun 12, 2026 to Jun 12, 2026
1 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: bank affiliated wealth managerderivedprivate_client_share=0.73 fund_share=0.0 institutional_share=0.27 related_bd=false related_bank=true bd_reps=0.0
Regulatory AUM: $113M••• Locked
Discretionary RAUM: $82.2M
Private client RAUM: $82.2Mderived••• Locked
Private client share: 73%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $28.3Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
D•••• J•••• M•••••	Certified Financial Planner\|Chartered Financial Consultant	COLORADO SPRINGS, CO	8	14	1	no
E••• R•••• W••••••	n/a	PERRY, GA \| COLORADO SPRINGS, CO	8	12

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M•••••• D••••• J••••	MANAGING MEMBER/CHIEF COMPLIANCE OFFICER	E	yes	10/2017	Jun 12, 2026	Jun 12, 2026
W••••••• E•••• R••••	CHIEF OPERATIONS OFFICER	Na	no	01/2020	Jun 12, 2026	Jun 12, 2026

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	0	1	0.0%	0	0	0	2	2

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
N••••••••• M••••• I••••••••• S•••••••••	2	Dec 5, 2017	Feb 8, 2018	COLORADO SPGS, CO	Team lift out	Other	0.1%

Relationships

Registered with (7)

← L•••••• W••••••Advisorregistration: current employment
Jul 13, 2026 to presentfactForm ADV
← D••••• R••••• E•••••Advisorregistration: current employment
Feb 9, 2026 to presentfactForm ADV
← D•••• J•••• M•••••Advisorregistration: current employment
Feb 8, 2018 to presentfactForm ADV
← E••• R•••• W••••••

Dated events

Occurred
Jul 5, 2024
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 20, 2024
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Nov 8, 2022
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:43b11f37-9a0a-be03-5997-c7f04c92336e
First observed: Jun 12, 2026
Last observed: Jun 12, 2026 3 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.