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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

A••••••••• L••

CRD 333587

AUSTIN, 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:6955f5db-cb18-2679-0c7d-61f7e6d8f2e3

Data as of Jun 29, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 35
Dated events: 5
On other graphs: 0
Observed: Nov 21, 2024 to Jun 29, 2026
9 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=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $879MItem 5.F on the latest filing (2026-06-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $879M
Private client RAUM: $872MderivedItem 5.D individuals plus high net worth individuals
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 24
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
S••• S••••••	Certified Financial Planner	Allen, TX \| AUSTIN, TX	1	26	3	no
J••••• P•••••• K•••	Certified Financial Planner\|Chartered Financial Consultant\|Chartered Financial Analyst	New Berlin, WI \| AUSTIN, TX	1

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
A•••••••• H••••••• L••	Owner	E	yes	11/2024	Nov 21, 2024	Nov 25, 2024
P•••••••• T•••••• J•••••	Member	D	yes	11/2024	Nov 21, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
4• W••••• M••••••••• L••	n/a	Independent wealth	$1.4B	N	yes	n/a

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; showing 1 of 2

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 14, 2026	$879M	$879M	3	3	5	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
5	0	5	0.0%	2	0	0	17	0

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
2025	$879M	n/a	n/a	n/a	n/a	3	n/a	6	n/a

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C••••••••• F•••••••• N••••••	2	Jul 1, 2026	Jul 1, 2026	SAN DIEGO, CA	Team lift out	Ibd to RIA	0.1%
T••••••• A•••••• N••••••• L••	4	Dec 23, 2025

Relationships

Registered with (24)

← S•••• E••••••• V•••••••••Advisorregistration: current employment
Jul 1, 2026 to presentfactForm ADV
← D••••• S•••• M••••••Advisorregistration: current employment
Jul 1, 2026 to presentfactForm ADV
← KRISTEN JOY HOLTAdvisorregistration: current employment
Apr 15, 2026 to presentfactForm ADV
← CHRISTA DIANNE BASS

Dated events

Occurred
Jul 1, 2026
Team lift-out
2 advisors left C••••••••• F•••••••• N•••••• (San Diego, CA) for A••••••••• L•• on the same day
Form ADVobserved 5 days ago
2 advisors
Occurred
Dec 23, 2025
Team lift-out
4 advisors left T••••••• A•••••• N••••••• L•• (Minneapolis, MN) for A••••••••• L•• within 8 days
Form ADVobserved 5 days ago
4 advisors
Occurred
Jul 7, 2025
Team lift-out
2 advisors left T••••••• A•••••• N••••••• L•• (Mill Creek, WA) for A••••••••• L•• on the same day
Form ADVobserved 7 days ago
2 advisors

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6955f5db-cb18-2679-0c7d-61f7e6d8f2e3
First observed: Nov 21, 2024
Last observed: Jun 29, 2026 2 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.