DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 10b 100b

U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••

CRD 20804

S••••SDALE, AZ

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:5840af40-3dea-d51d-7ed1-f21129297da2

Data as of Jun 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 718
Dated events: 40
On other graphs: 0
Observed: Mar 30, 2012 to Jun 18, 2026
52 observations

Right now

one signal names this record (all ria / wealth signals)

#1NewDerived metricAdvisor Recruiting Intelligence

••• Locked

Dated 2026-06-17 (filing); first seen by DFX 2026-09-15.

Exposure: exposure unknown
Who this matters to: RIA aggregators, Advisor recruiters +2
Historical: not a measured predictor

L•• F•••••••• L•• · destination firm

Advisor Recruiting IntelligenceJun 17, 2026 · seen 8 days ago

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: independent wealth managerderivedprivate_client_share=0.96 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=539.0
Regulatory AUM: $13B••• Locked
Discretionary RAUM: $607M
Private client RAUM: $12Bderived••• Locked
Private client share: 96%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 364
RAUM per advisor: $35.1Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
P•••• J•••• K••••••	Certified Financial Planner\|Chartered Financial Consultant	COLUMBIA, MD \| S••••SDALE, AZ	26	28	n/a	yes
M••••• T••••• C•••	n/a	CYPRESS, CA \| S••••SDALE, AZ	26	33

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• M•••••• A•	PRESIDENT CHIEF MARKETING OFFICER	Na	yes	08/2018	Jun 18, 2026	Jun 18, 2026
C••••••••• S••••• J•••	EXECUTIVE VICE PRESIDENT	Na	yes	08/2018	Jun 18, 2026	Jun 18, 2026

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Sidney	Oh	United States	8	no
WALNUT CREEK	CA	United States	7	no
Huntsville	Oh	United States	5	no
Tucson	Az	United States	4	no
Independence	Ia	United States

Regulatory AUM by fiscal year

••• Locked

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

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
38	30	8	8.2%	7	8	0	105	72

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$13B	$11B	20.1%	$6.1B	28.0%	620	614	209	209

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
L•• F•••••••• L••	3	Jun 17, 2026	Jun 12, 2026	LEBANON, MO	Team lift out	RIA to ibd	0.8%
M• L••••• A•••••••• L••	3	Mar 2, 2026	Nov 17, 2017

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
O••••••••• S••••••••• I•••	4	Sep 23, 2025	Sep 15, 2025	SENECA, PA	Team lift out	Ibd to RIA	1.3%
W••••••••• P•••••••	2	Aug 8, 2025	Aug 1, 2025

Relationships

showing 80 of 718

Registered with (75)

← K••••• A•••••••Advisorregistration: current employment
Sep 15, 2026 to presentfactForm ADV
← D•••• R•• Q••••••Advisorregistration: current employment
Sep 11, 2026 to presentfactForm ADV
← A••• R••••• W•••Advisorregistration: current employment
Sep 11, 2026 to presentfactForm ADV
← J••••• A•••••••

Dated events

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

Occurred
Sep 16, 2026
A•••••• firm change
••• Locked
Form ADVobserved 5 days ago
Occurred
Sep 10, 2026
A•••••• firm change
••• Locked
Form ADVobserved 8 days ago
Occurred
Sep 8, 2026
A•••••• firm change
••• Locked
Form ADVobserved 8 days ago
Occurred
Sep 8, 2026

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5840af40-3dea-d51d-7ed1-f21129297da2
First observed: Mar 30, 2012
Last observed: Jun 18, 2026 3 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.