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

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RIA / WealthRegistered adviserno raum reportedSEC registeredRAUM none

R•••• I•••

CRD 149575

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Search this name across graphsid dfx:ria:466a676b-f164-052d-4a51-e80aa9619c74

Data as of Apr 1, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:49 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Feb 27, 2012 to Apr 1, 2026
20 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: no raum reportedderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $0Item 5.F on the latest filing (2026-04-01); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 1
Employees: 2
Advisory employees: 1
Offices

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
L••• D••• F•••••	Certified Financial Planner	DURHAM, NC	13	24	7	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•••••• L•••• D•••	Owner	E	yes	01/2012	Feb 27, 2012	Mar 21, 2024
R••••• S•••• T••••••	PRESIDENT AND CHIEF COMPLIANCE OFFICER	Na	yes	03/2016	Feb 27, 2012

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; showing 14 of 15

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

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
2025	$0	$0	n/a	n/a	n/a	2	2	0	0

Relationships

Registered with (2)

← L••• D••• F•••••Advisorregistration: previous registration
Jan 23, 2012 to Apr 11, 2012factForm ADV
← CHIP JASON JURGENSENAdvisorregistration: previous registration
Dec 10, 2012 to Mar 14, 2018factForm ADV

Controls (2)

← F•••••• L•••• D•••OwnerOWNER, ownership code E, individual
Feb 27, 2012 to Mar 21, 2024factForm ADV
← R••••• S•••• T••••••

Dated events

Occurred
Mar 18, 2016
Succession filed (Item 4)
R•••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:466a676b-f164-052d-4a51-e80aa9619c74
First observed: Feb 27, 2012
Last observed: Apr 1, 2026 5 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.