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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM under $100M

M••••• O• O•••• I••••••• S•••••••• I•••

CRD 611

O••••, NE

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:603b81e8-d296-1712-18fc-026678555a6c

Data as of Aug 4, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:44 AM UTC and rebuilt at most every 15 minutes.

Relationships: 732
Dated events: 40
On other graphs: 0
Observed: Mar 30, 2012 to Aug 4, 2026
66 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=207.0
Regulatory AUM: $32.0M••• Locked
Discretionary RAUM: $32.0M
Private client RAUM: $32.0Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 281
RAUM per advisor: $114,006

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M••••• V•••••• H••••••	Certified Financial Planner\|Chartered Financial Consultant	BRAINTREE, MA \| Moorestown, NJ \| Bonita Springs, FL \| Marlton, NJ	23	49	n/a	yes
J•••••• E••••• S••••	Certified Financial Planner\|Chartered Financial Consultant	BRAINTREE, MA \| LANCASTER, PA	23

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H•••••• B••••• D•••	CHIEF COMPLIANCE OFFICER	Na	yes	12/2023	Dec 7, 2023	Oct 22, 2024
M••••• O• O•••• H••••••• I•••	Owner	E	yes	01/1997	Mar 30, 2012	Oct 22, 2024

Affiliates (Item 7.A)

••• Locked

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

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
O••••	Ne	United States	16	yes
Phoenix	Az	United States	8	yes
Irving	TX	United States	7	yes
LA CROSSE	Wi	United States	7	yes
Sacramento	CA	United States

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
7	14	-7	5.0%	1	3	0	20	66

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	$32.0M	$24.4M	31.5%	$14.3M	30.9%	285	277	91	91

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
L•• F•••••••• L••	2	Oct 9, 2025	Oct 7, 2025	WAUKESHA, WI	Team lift out	RIA to ibd	0.8%
P••• A••••• S••••••••• L••	2	Dec 19, 2023	May 17, 2024

Relationships

showing 80 of 732

Registered with (80)

← Lucas Erik BonstromAdvisorregistration: current employment
Sep 11, 2026 to presentfactForm ADV
← Alfredo ArenasAdvisorregistration: current employment
Sep 1, 2026 to presentfactForm ADV
← Jason BensonAdvisorregistration: current employment
Aug 28, 2026 to presentfactForm ADV
← Mark Allen Powell

Dated events

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

Occurred
Aug 14, 2026
Advisor changed firm
Wesley James Taylor left M••••• O• O•••• I••••••• S•••••••• I••• for Raymond James Financial Services Advisors, Inc (registered 2026-08-03)
Form ADVobserved 7 days ago
Occurred
Jul 30, 2026
Advisor changed firm
Ricardo Luis Delgado-Oliveras left M••••• O• O•••• I••••••• S•••••••• I••• for M•• I•••••••• S•••••••• L•• (registered 2026-07-29)
Form ADVobserved 7 days ago
Occurred
Jun 25, 2026
Advisor changed firm
Christopher Lorance Harsley left M••••• O• O•••• I••••••• S•••••••• I••• for Coho Advisory Services, Llc (registered 2026-08-04)
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:603b81e8-d296-1712-18fc-026678555a6c
First observed: Mar 30, 2012
Last observed: Aug 4, 2026 49 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.