DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM 1b 10bSuccession filed

F•••• F•••••••• E••••• C•••••••••

CRD 16507

S••••SDALE, AZ

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Data as of Jun 30, 2022 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 154
Dated events: 64
On other graphs: 3
Observed: Mar 30, 2012 to Jun 30, 2022
45 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Venture Capitalidentity

F•••• F•••••••• E••••• C••••

Venture manager · key_crd, shared_crd

Allocatorsidentity

F•••• F•••••••• E••••• C•••••••••

Investment consultant · key_crd, shared_crd

Real Estate Fundsidentity

F•••• F•••••••• E••••• C•••••••••

Affiliate · key_crd, shared_crd

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: $2.4B••• Locked
Discretionary RAUM: $2.1B
Private client RAUM: $2.1Bderived••• Locked
Private client share: 87%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 174

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	F•••• seen	Last seen
G•••••• J•••••• S••••	PRESIDENT / CEO	D	yes	01/2017	Jan 19, 2017	Jun 30, 2022
M•••••• K•••••• A••••••	CHIEF COMPLIANCE OFFICER	Na	yes	03/2020	Apr 7, 2020	Jun 30, 2022

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
S••••SDALE	Az	United States	26	yes
Addison	TX	United States	17	yes
Billings	Mt	United States	14	yes
GREENWOOD VILLAGE	Co	United States	13	yes
G•••DALE	Az	United States

Regulatory AUM by fiscal year

••• Locked

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

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2021	$2.4B	$2.1B	11.8%	$1.8B	9.5%	174	178	42	46

Teams out

••• Locked

Other firm	Advisors	F•••• left	Last joined	From	Kind	Move type	Share of firm
O•••• W•••••• I•••	6	May 3, 2022	Apr 7, 2022	S••••SDALE, AZ	Firm absorbed	Ibd to ibd	60.0%
F••••••••• I••••••••• A••••••• L••	2	Apr 22, 2022	May 11, 2022

Teams in

••• Locked

Other firm	Advisors	F•••• left	Last joined	From	Kind	Move type	Share of firm
N••• F•••••••• S•••••••	3	Jun 17, 2016	May 20, 2016	TUCSON, AZ	Team lift out	Other	20.0%

Relationships

showing 80 of 154

Controls (4)

← M•••••• K•••••• A••••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Apr 7, 2020 to presentfactForm ADV
← G•••••• J•••••• S••••OwnerPRESIDENT / CEO, ownership code D, individual
Jan 19, 2017 to presentfactForm ADV
← S••••••• R•••• W••••OwnerCOO / SECRETARY / TREASURER, ownership code D, individual
Jan 19, 2017 to presentfactForm ADV
← S••••••• A••••• L••OwnerCFO, ownership code NA, individual
Feb 3, 2020 to present

Dated events

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

Order

Occurred
25 Sep 2022
Advisor changed firm2 events
F•••• F•••••••• E••••• C•••••••••: advisor changed firm, 2 counterparties, on 25 Sep 2022
- ••• Locked
- ••• Locked
Occurred
2 Aug 2022
Advisor departed, no destination yet
••• Locked
Form ADV
Occurred
30 Jun 2022
Succession filed (Item 4)
••• Locked
Form ADV
Occurred
4 May 2022
Advisor changed firm
••• Locked
Form ADV
Occurred
3 May 2022
Advisor changed firm6 events
F•••• F•••••••• E••••• C•••••••••: advisor changed firm, 6 counterparties, on 3 May 2022
- ••• Locked
- ••• Locked
- ••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 30, 2012
Last observed: Jun 30, 2022 51 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.

All 30 rows

City	State	Country	Employees	Also broker-dealer
Fargo	Nd	United States	2	yes
Dublin	Oh	United States	2	yes
Duncan	Ok	United States	2	yes
Casper	Wy	United States	2	yes
n/a	n/a	n/a	2	yes
Riverside	CA	United States	1	yes
Aspen	Co	United States	1	yes
TWIN FALLS	Id	United States	1	no
Springfield	Mo	United States	1	yes
LAS VEGAS	Nv	United States	1	yes
Tulsa	Ok	United States	1	yes
Waco	TX	United States	1	yes
n/a	n/a	n/a	1	yes
n/a	n/a	n/a	1	yes
n/a	n/a	n/a	1	yes
n/a	n/a	n/a	1	yes
n/a	n/a	n/a	1	yes
n/a	n/a	n/a	1	yes
n/a	n/a	n/a	1	yes
n/a	n/a	n/a	1	yes

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 30, 2012	$1.3B	$844M	n/a	n/a	n/a	n/a	n/a

All 11 rows

Other firm	Advisors	F•••• left	Last joined	From	Kind	Move type	Share of firm
W••••••••• A•••••••• L••	2	Feb 5, 2016	Aug 9, 2016	GREENWOOD VILLAGE, CO	Team lift out	Other	2.8%