DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 10b 100b

A••••••• E••••• A•••••••• I•••

CRD 150403

WEST DES MOINES, IA

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Search this name across graphsid dfx:ria:5d16f187-bf55-941b-0a59-fba7d831694c

Data as of Feb 13, 2014 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:42 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 12, 2012 to Feb 13, 2014
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: $29B••• Locked
Discretionary RAUM: $29B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 19
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••• E••••• I••••••••• L••• H•••••• C••••••	Owner	E	yes	04/2009	Mar 12, 2012	Feb 13, 2014
L•••••••• J••••••• D••••	PRESIDENT AND CHIEF COMPLIANCE OFFICER	Na	yes	04/2009	Mar 12, 2012	Feb 13, 2014

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••••••• E••••• C••••••• I•••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2013	Feb 13, 2014

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2013	$29B	$27B	8.3%	n/a	n/a	19	14	n/a	n/a

Relationships

Controls (2)

← L•••••••• J••••••• D••••OwnerPRESIDENT AND CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 12, 2012 to presentfactForm ADV
← A••••••• E••••• I••••••••• L••• H•••••• C••••••OwnerOWNER, ownership code E, domestic entity
Mar 12, 2012 to presentfactForm ADV

Registered with (1)

← G•••••• G••••• C•••••••••Advisorregistration: previous registration
Mar 14, 2011 to Aug 27, 2014factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5d16f187-bf55-941b-0a59-fba7d831694c
First observed: Mar 12, 2012
Last observed: Feb 13, 2014 153 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.