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

SPECIALIZED ADVISORS

SPECIALIZED ADVISORS, LLC, CRD 299308

DALLAS, TX

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:53f99bb7-37b8-39f2-ca26-45fd90424550

Data as of Sep 13, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 35
Dated events: 2
On other graphs: 0
Observed: Oct 18, 2018 to Sep 13, 2019
23 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: $3.1MItem 5.F on the latest filing (2019-09-13); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $3.1M
Private client RAUM: $3.1MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 23
Advisory employees: 21
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 33
Individual clients: 33
SEC number: 801-114303
CRD: 299308
Filings on the tape: 23
First filed: Oct 18, 2018
Latest filed: Sep 13, 2019
Organised: Limited Liability Company, Texas

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
ESTRADA, LISA, KIM	Member	C	yes	10/2018	Oct 18, 2018	Sep 13, 2019
ESTRADA, LISA, KIM	CHIEF COMPLIANCE OFFICER	Na	yes	10/2018	Oct 18, 2018	Sep 13, 2019
FINANCIAL INSTITUTION GROUP, LLC	Member	C	yes	10/2018	Oct 18, 2018	Sep 13, 2019
FINANCIAL INSTITUTION GROUP, LLC	Active	C	yes	10/2018	Oct 18, 2018	Sep 13, 2019
GROVES, JEFFREY, JAMES	Member	D	yes	08/2017	Oct 18, 2018	Sep 13, 2019
GROVES, JEFFREY, JAMES	Ceo	Na	yes	10/2018	Oct 18, 2018	Sep 13, 2019
SPARK, PHILLIPS, & WYLER LLC	Active	D	yes	07/2003	Oct 18, 2018	Sep 13, 2019
SPARK, PHILLIPS, & WYLER LLC	Member	D	yes	08/2018	Oct 18, 2018	Sep 13, 2019
YOUNG, MICHAEL, ALLEN	President	Na	yes	10/2018	Oct 18, 2018	Sep 13, 2019
YOUNG, MICHAEL, ALLEN	Member	D	yes	07/2003	Oct 18, 2018	Sep 13, 2019

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
2018	Mar 7, 2019	$0	$0	22	22	0	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
2018	$3.1M	n/a	n/a	n/a	n/a	23	n/a	0	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
SECURE INVESTMENT MANAGEMENT, LLC	2	Oct 12, 2019	Jul 2, 2025	DALLAS, TX	Team lift out	RIA to RIA	13.3%
BROOKSTONE CAPITAL MANAGEMENT LLC	10	Oct 12, 2019	Nov 18, 2019	DALLAS, TX	Firm absorbed	RIA to RIA	66.7%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
SECURE INVESTMENT MANAGEMENT, LLC	3	Apr 1, 2019	Apr 10, 2019	TUCSON, AZ	Team lift out	RIA to new firm	30.0%
SECURE INVESTMENT MANAGEMENT, LLC	11	Jan 24, 2019	Apr 29, 2019	TUCSON, AZ	Team lift out	RIA to new firm	37.9%

Relationships

Affiliated with (1)

← MISSION FUNDS ADVISORSRegistered adviserother investment adviser, common control
factForm ADV

Controls (5)

← GROVES, JEFFREY, JAMESOwnerMEMBER, ownership code D, individual
Oct 18, 2018 to presentfactForm ADV
← YOUNG, MICHAEL, ALLENOwnerMEMBER, ownership code D, individual
Oct 18, 2018 to presentfactForm ADV
← ESTRADA, LISA, KIMOwnerMEMBER, ownership code C, individual
Oct 18, 2018 to presentfactForm ADV
← FINANCIAL INSTITUTION GROUP, LLCOwnerACTIVE, ownership code C, domestic entity
Oct 18, 2018 to presentfactForm ADV
← SPARK, PHILLIPS, & WYLER LLCOwnerACTIVE, ownership code D, domestic entity
Oct 18, 2018 to presentfactForm ADV

Moved with (3)

→ SECURE INVESTMENT MANAGEMENT, LLCRegistered adviser2 advisors, team lift out, same day
Oct 12, 2019 to Jul 2, 2025factForm ADV
→ BROOKSTONE CAPITAL MANAGEMENT LLCRegistered adviser11 advisors, firm absorbed
Oct 12, 2019 to Dec 20, 2019factForm ADV
← SECURE INVESTMENT MANAGEMENT, LLCRegistered adviser11 advisors, team lift out
Jan 24, 2019 to Apr 29, 2019factForm ADV

Registered with (20)

← James Steven LeggottAdvisorregistration: previous registration
Mar 12, 2019 to Oct 22, 2019factForm ADV
← MICHAEL ALLEN YOUNGAdvisorregistration: previous registration
Nov 19, 2018 to Oct 22, 2019factForm ADV
← Andrew Joseph CamlinAdvisorregistration: previous registration
Jul 5, 2019 to Oct 22, 2019factForm ADV
← ROMAN LARAAdvisorregistration: previous registration
Apr 2, 2019 to Oct 18, 2019factForm ADV
← CHARLES DANIEL YANCEYAdvisorregistration: previous registration
Jan 31, 2019 to Oct 12, 2019factForm ADV
← JOHN STANLEY HARDINGAdvisorregistration: previous registration
Feb 5, 2019 to Oct 12, 2019factForm ADV
← CLARK DAVID DEARMONDAdvisorregistration: previous registration
Jan 31, 2019 to Oct 12, 2019factForm ADV
← MARK ROBERT SCHERERAdvisorregistration: previous registration
Jan 29, 2019 to Oct 12, 2019factForm ADV
← MARK HUGH RUTLEDGEAdvisorregistration: previous registration
Mar 26, 2019 to Oct 12, 2019factForm ADV
← FREDERICK CHARLES WHITFORDAdvisorregistration: previous registration
Jun 14, 2019 to Oct 12, 2019factForm ADV
← CHARLES STEWART CANNONAdvisorregistration: previous registration
Jan 31, 2019 to Oct 12, 2019factForm ADV
← CRAIG MARTIN DEMBECKAdvisorregistration: previous registration
Mar 22, 2019 to Oct 12, 2019factForm ADV
← BART ANDREW NEWMANAdvisorregistration: previous registration
Apr 10, 2019 to Oct 12, 2019factForm ADV
← STEVEN FRANCIS GARIBAYAdvisorregistration: previous registration
Feb 15, 2019 to Oct 12, 2019factForm ADV
← Ron GreenfieldAdvisorregistration: previous registration
Apr 29, 2019 to Oct 12, 2019factForm ADV
← TIMOTHY JON SPARKSAdvisorregistration: previous registration
Jan 31, 2019 to Sep 13, 2019factForm ADV
← Jeffery Gene MusgroveAdvisorregistration: previous registration
Jan 31, 2019 to Sep 13, 2019factForm ADV
← ERIC DEAN BRUMAGINAdvisorregistration: previous registration
Apr 10, 2019 to Jul 30, 2019factForm ADV
← ALBERT EUGENE NATICCHIONIAdvisorregistration: previous registration
Feb 19, 2019 to Jul 26, 2019factForm ADV
← RANDAL E LOCKLIERAdvisorregistration: previous registration
Apr 10, 2019 to Jun 5, 2019factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Oct 18, 2018
First Form ADV filing
Specialized Advisors filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Show 1 bookkeeping events

Occurred
Feb 19, 2019
Specialized Advisors reported 15 state-registered advisory representatives, up from 1 (2019-02-05 to 2019-02-19)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:53f99bb7-37b8-39f2-ca26-45fd90424550
First observed: Oct 18, 2018
Last observed: Sep 13, 2019 85 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.

SPECIALIZED ADVISORS

SPECIALIZED ADVISORS, LLC, CRD 299308

DALLAS, TX

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:53f99bb7-37b8-39f2-ca26-45fd90424550

Data as of Sep 13, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:56 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ESTRADA, LISA, KIM

Member

yes

10/2018

Oct 18, 2018

Sep 13, 2019

ESTRADA, LISA, KIM

CHIEF COMPLIANCE OFFICER

yes

10/2018

Oct 18, 2018

Sep 13, 2019

FINANCIAL INSTITUTION GROUP, LLC

Member

yes

10/2018

Oct 18, 2018

Sep 13, 2019

FINANCIAL INSTITUTION GROUP, LLC

Active

yes

10/2018

Oct 18, 2018

Sep 13, 2019

GROVES, JEFFREY, JAMES

Member

yes

08/2017

Oct 18, 2018

Sep 13, 2019

GROVES, JEFFREY, JAMES

Ceo

yes

10/2018

Oct 18, 2018

Sep 13, 2019

SPARK, PHILLIPS, & WYLER LLC

Active

yes

07/2003

Oct 18, 2018

Sep 13, 2019

SPARK, PHILLIPS, & WYLER LLC

Member

yes

08/2018

Oct 18, 2018

Sep 13, 2019

YOUNG, MICHAEL, ALLEN

President

yes

10/2018

Oct 18, 2018

Sep 13, 2019

YOUNG, MICHAEL, ALLEN

Member

yes

07/2003

Oct 18, 2018

Sep 13, 2019

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Mar 7, 2019

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

$3.1M

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

SECURE INVESTMENT MANAGEMENT, LLC

Oct 12, 2019

Jul 2, 2025

DALLAS, TX

Team lift out

RIA to RIA

13.3%

BROOKSTONE CAPITAL MANAGEMENT LLC

Oct 12, 2019

Nov 18, 2019

DALLAS, TX

Firm absorbed

RIA to RIA

66.7%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

SECURE INVESTMENT MANAGEMENT, LLC

Apr 1, 2019

Apr 10, 2019

TUCSON, AZ

Team lift out

RIA to new firm

30.0%

SECURE INVESTMENT MANAGEMENT, LLC

Jan 24, 2019

Apr 29, 2019

TUCSON, AZ

Team lift out

RIA to new firm

37.9%