DFX Intelligence

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

MOORE FINANCIAL GROUP

MOORE FINANCIAL GROUP LLC, CRD 108973

LITTLETON, CO

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:479719d0-d3f9-305a-2b6d-7a6ec25e5bb1

Data as of Jun 20, 2012 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:38 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Feb 15, 2012 to Jun 20, 2012
5 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: $53.1MItem 5.F on the latest filing (2012-06-20); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $48.4M
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: 0
Accounts: 299
SEC number: 801-69062
CRD: 108973
Filings on the tape: 5
First filed: Feb 15, 2012
Latest filed: Jun 20, 2012
Organised: Limited Liability Company, Colorado

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
MOORE, JON, DAVID	PARTNER/CHIEF COMPLIANCE OFFICER	D	yes	01/1997	Feb 15, 2012	Jun 20, 2012
MOORE, ROBERT, LEE	Partner	D	yes	01/1997	Feb 15, 2012	Jun 20, 2012

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
PALM SPRINGS	CA	United States	n/a	no

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
2011	Feb 15, 2012	$53.1M	$48.4M	n/a	n/a	n/a	n/a	n/a

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
2011	$53.1M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (2)

← MOORE, ROBERT, LEEOwnerPARTNER, ownership code D, individual
Feb 15, 2012 to presentfactForm ADV
← MOORE, JON, DAVIDOwnerPARTNER/CHIEF COMPLIANCE OFFICER, ownership code D, individual
Feb 15, 2012 to presentfactForm ADV

Registered with (3)

← JON DAVID MOOREAdvisorregistration: previous registration
Feb 26, 1997 to Dec 31, 2014factForm ADV
← MARK RICHARD MOGLEAdvisorregistration: previous registration
Jun 25, 2012 to Dec 31, 2014factForm ADV
← MATTHEW ANDERSON ELLIOTTAdvisorregistration: previous registration
Feb 10, 2006 to May 9, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:479719d0-d3f9-305a-2b6d-7a6ec25e5bb1
First observed: Feb 15, 2012
Last observed: Jun 20, 2012 173 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.

MOORE FINANCIAL GROUP

MOORE FINANCIAL GROUP LLC, CRD 108973

LITTLETON, CO

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:479719d0-d3f9-305a-2b6d-7a6ec25e5bb1

Data as of Jun 20, 2012 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:38 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

MOORE, JON, DAVID

PARTNER/CHIEF COMPLIANCE OFFICER

yes

01/1997

Feb 15, 2012

Jun 20, 2012

MOORE, ROBERT, LEE

Partner

yes

01/1997

Feb 15, 2012

Jun 20, 2012

City

State

Country

Employees

Also broker-dealer

PALM SPRINGS

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Feb 15, 2012

$53.1M

$48.4M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$53.1M

n/a