DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

S••••••••• A•••••• G••••• L••

CRD 286071

OMAHA, NE

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Search this name across graphsid dfx:ria:6b043199-8493-750d-209c-88f3196e5254

Data as of Nov 30, 2021 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 21
Dated events: 20
On other graphs: 0
Observed: Dec 1, 2016 to Nov 30, 2021
19 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: $700M••• Locked
Discretionary RAUM: $651M
Private client RAUM: $623Mderived••• Locked
Private client share: 89%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 17

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G•••••• J•••••• M••••••	MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER	E	yes	11/2016	Dec 1, 2016	Nov 30, 2021
K••••••• C•••••• L•••	MINORITY MEMBER	Na	no	01/2017	Mar 29, 2018	Nov 30, 2021

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Norfolk	Ne	United States	1	yes
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020	Mar 18, 2021

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$700M	$510M	37.2%	$331M	28.4%	17	16	2	1

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
G•••••••• W••••• P•••••••	11	Mar 31, 2022	Mar 4, 2022	OMAHA, NE	Firm absorbed	RIA to RIA	91.7%
T•• W••••• C••••••••• G••••	2	Mar 30, 2022	Apr 6, 2022

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
W•••• F•••• A•••••••	2	Nov 3, 2017	Nov 2, 2017	OMAHA, NE	Team lift out	Other	0.0%
W••••••••• P•••••••	3	May 1, 2017	Mar 20, 2017

Relationships

Owns (1)

← K••••••• C•••••• L•••OwnerMINORITY MEMBER, ownership code NA, individual
Mar 29, 2018 to presentfactForm ADV

Controls (1)

← G•••••• J•••••• M••••••OwnerMANAGING MEMBER AND CHIEF COMPLIANCE OFFICER, ownership code E, individual
Dec 1, 2016 to presentfactForm ADV

Moved with (4)

→ T•• W••••• C••••••••• G••••Registered adviser2 advisors, team lift out, same day
Mar 30, 2022 to Apr 6, 2022factForm ADV

Dated events

Occurred
Mar 31, 2022
Firm absorbed
••• Locked
Form ADVobserved 8 days ago
12 advisors
Occurred
Mar 31, 2022
A•••••• firm change
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 31, 2022
A•••••• firm change
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 31, 2022
A•••••• firm change

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6b043199-8493-750d-209c-88f3196e5254
First observed: Dec 1, 2016
Last observed: Nov 30, 2021 58 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.