DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

M••••••• I••••••••• M••••••••• L••

CRD 174817

GREENWOOD VILLAGE, CO

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Search this name across graphsid dfx:ria:58f10558-3168-8fb3-3672-1849a27a45bb

Data as of Aug 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:22 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 1
On other graphs: 0
Observed: Aug 7, 2019 to Aug 26, 2026
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: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=8.0
Regulatory AUM: $298M••• Locked
Discretionary RAUM: $298M
Private client RAUM: $297Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 8
RAUM per advisor: $37.2Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
D••••• E••••• M•••••••	n/a	GREENWOOD VILLAGE, CO	11	25	2	yes
S••••• J•• E••••	n/a	GREENWOOD VILLAGE, CO	11	20

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
E••••• S•••••• J••	CHIEF COMPLIANCE OFFICER	A	yes	01/2015	Aug 7, 2019	Aug 27, 2024
M•••••••• D•••••• E•••••	OWNER, PRESIDENT	E	yes	01/2015	Aug 7, 2019	Aug 27, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Littleton	Co	United States	2	yes
LAS CRUCES	Nm	United States	1	yes

Regulatory AUM by fiscal year

••• Locked

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

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	0	0	0.0%	0	0	0	0	0

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	$298M	$264M	12.8%	$204M	13.5%	8	8	3	2

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
J•••••• C•••••• M••••••••• L••	2	Aug 17, 2016	Jul 30, 2015	HIGHLAND, UT	Team lift out	Other	50.0%

Relationships

Registered with (8)

← D•••• G••••••• A••••••Advisorregistration: current employment
Jan 2, 2025 to presentfactForm ADV
← S••••••• C••••••••Advisorregistration: current employment
Aug 12, 2024 to presentfactForm ADV
← T••• M•••••• K•••••Advisorregistration: current employment
May 27, 2020 to presentfactForm ADV
← B•••• R•••••• G••••

Dated events

Occurred
Aug 7, 2019
First Form ADV filing
M••••••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:58f10558-3168-8fb3-3672-1849a27a45bb
First observed: Aug 7, 2019
Last observed: Aug 26, 2026 27 days 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.