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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

F•• F•••••••• S•••••••• I•••

CRD 118828

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Search this name across graphsid dfx:ria:449c7c0c-58a6-011b-85ea-8887595d5462

Data as of Apr 24, 2017 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Nov 9, 2011 to Apr 24, 2017
13 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: $40.5MItem 5.F on the latest filing (2017-04-24); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $40.5M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
C•••• L•• H•••••	n/a	LINCOLN, NE	3	25	n/a	no

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
F••• E•••••• D•••••	President	E	yes	11/1997	Nov 9, 2011	Apr 24, 2017
K•••••• A•••••• J••	CHIEF COMPLIANCE OFFICER	Na	no	01/2003	Nov 9, 2011

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

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

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	0

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
2016	$40.5M	$101M	-59.9%	$112M	-28.8%	3	3	n/a	n/a

Relationships

Registered with (1)

← C•••• L•• H•••••Advisorregistration: current employment
Sep 7, 2023 to presentfactForm ADV

Owns (1)

← K•••••• A•••••• J••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 9, 2011 to presentfactForm ADV

Controls (1)

← F••• E•••••• D•••••OwnerPRESIDENT, ownership code E, individual
Nov 9, 2011 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:449c7c0c-58a6-011b-85ea-8887595d5462
First observed: Nov 9, 2011
Last observed: Apr 24, 2017 114 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.