DFX Intelligence

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

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

S••••• F•••••••• A•••••••• L••

CRD 127313

ABERDEEN, SD

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:44d51199-24c9-b544-d460-47de807a9cca

Data as of Aug 6, 2012 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 4
On other graphs: 0
Observed: Mar 26, 2012 to Aug 6, 2012
7 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: $50.7M••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $25.4Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J••• P••• S•••••	n/a	ABERDEEN, SD	22	42	1	no
D••••• L•••••	Certified Financial Planner	Aberdeen, SD \| ABERDEEN, SD \| URBANDALE, IA	2	13

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D•••• M••••••• A••••••	ELECTED MANAGER & CHIEF COMPLIANCE OFFICER	Na	yes	05/2004	Mar 26, 2012	Aug 6, 2012
G•••••••• S••••••	ELECTED MANAGER	Na	yes	05/2004	Mar 26, 2012	Aug 6, 2012

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S••••• F•••••••• A•••••• L••	n/a	n/a	n/a	N	yes	n/a
S•• A••••••••• P••••••••• P•••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 26, 2012	$50.7M	$0	n/a	n/a	n/a	n/a	n/a

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	1	-1	50.0%	0	0	0	1	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
2011	$50.7M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
K••••• A•••••••• I•••	2	Sep 9, 2022	Sep 9, 2022	ABERDEEN, SD	Team lift out	Other	66.7%

Relationships

Registered with (6)

← D••••• L•••••Advisorregistration: current employment
Jul 15, 2024 to presentfactForm ADV
← J••• P••• S•••••Advisorregistration: current employment
May 26, 2004 to presentfactForm ADV
← J•••• P•••• C••••••Advisorregistration: previous registration
Jan 4, 2024 to Jan 8, 2026factForm ADV
← R••• N••••••• P•••••

Dated events

Occurred
Jan 8, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Sep 9, 2022
Team lift-out
••• Locked
Form ADVobserved 7 days ago
2 advisors
Occurred
Sep 9, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Sep 9, 2022
Advisor changed firm

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:44d51199-24c9-b544-d460-47de807a9cca
First observed: Mar 26, 2012
Last observed: Aug 6, 2012 172 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.