DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

E••••••• C•••••• M••••••••• L••

CRD 110266

SCOTTSDALE, AZ

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Search this name across graphsid dfx:ria:6e350299-5a90-f36d-cfa3-e23c029bf1b1

Data as of Jun 22, 2015 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 0
On other graphs: 1
Observed: Mar 26, 2012 to Jun 22, 2015
13 observations

Across DFX

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

Real Estate Fundsidentity

E••••••• C•••••• M••••••••• L••

Real estate fund manager · 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: $61.9M••• Locked
Discretionary RAUM: $61.9M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $31.0Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
P••••••• A•• D•••••••	Chartered Financial Consultant	SCOTTSDALE, AZ	20	37	1	no
M•••••• M••• D•••••••	n/a	SCOTTSDALE, AZ	17	44

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
G•••••• C•••••• P••••••• L••	Real Estate Fund	$33.7M	Mar 20, 2014	93	Mar 26, 2012	dropped	021-1459824
T••••••• P•••••••• L••	Other Private Fund	$33.5M	Jun 22, 2015

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D•••••••• M••••••• M•••	Trustee	F	yes	12/1998	Mar 26, 2012	Jun 22, 2015
D•••••••• M••••••• M•••	President	Na	yes	06/1982	Mar 26, 2012	Jun 22, 2015

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
R•••••• L••	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
2014	Mar 13, 2015

Advisor flows

••• Locked

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

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2014	$61.9M	$138M	-55.2%	$139M	-23.6%	5	5	n/a	n/a

Relationships

Advises (4)

→ T••••••• P•••••••• L••Private fundOther Private Fund, IA
Mar 26, 2012 to presentfactForm ADV
→ E••••• I••••• P••••••• L•Private fundReal Estate Fund, IA, no longer reported
Mar 26, 2012 to Mar 20, 2014factForm ADV
→ G•••••• C•••••• P••••••• L••Private fundReal Estate Fund, IA, no longer reported
Mar 26, 2012 to Mar 20, 2014factForm ADV
→ G•••••• C•••••• P•••••••• L•••• A• C••••• I•••••• E••••••• C••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6e350299-5a90-f36d-cfa3-e23c029bf1b1
First observed: Mar 26, 2012
Last observed: Jun 22, 2015 137 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.