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F•••• I••••••• S••••••• LLC, CRD 313337
SCOTTSDALE, AZ
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| S••••• T••••• N••••• | Chartered Financial Analyst | Scottsdale, AZ | SCOTTSDALE, AZ | 3 | 22 | 2 | no |
| R•••••• D•••• A•••••••• | Certified Financial Planner | Wildwood, MO | SCOTTSDALE, AZ | 1 | 15 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| N•••••• K••••••• L•• | Trustee | D | yes | 04/2023 | May 30, 2023 | May 7, 2024 |
| N•••••• S•••••• T••••• | CHAIRMAN/TRUSTEE | D | yes | 04/2023 | May 30, 2023 | May 7, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| C•••••• I•••••• P•••••••• L•• | n/a | Former SEC adviser | $830M | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Scottsdale | Az | United States | 1 | no |
| ST. LOUIS | Mo | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 1, 2026 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 2 | 1 | 1 | 16.7% | 0 | 0 | 0 | 3 | 2 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $280M | $197M | 42.1% | $38.2M | 94.2% | 10 | 6 | 3 | 2 |
| no |
| J••• C••••• R••••• | Chartered Financial Analyst | Scottsdale, AZ | SCOTTSDALE, AZ | 0 | 16 | n/a | no |
| J••• P••• S•••••• | n/a | St. Louis, MO | SCOTTSDALE, AZ | 0 | 11 | 1 | no |
| K•••• J• H••••• | n/a | Mount Pleasant, SC | SCOTTSDALE, AZ | 0 | 13 | 3 | no |
| A••••••• M••••••••• | n/a | SCOTTSDALE, AZ | Lino Lakes, MN | 0 | 11 | n/a | no |
| CHIEF COMPLIANCE OFFICER/CHIEF EXECUTIVE OFFICER |
| Na |
| yes |
| 05/2021 |
| May 30, 2021 |
| May 7, 2024 |
| T•• S••••• T• N••••• A•• K•••••• L• N••••• J•••• R•••••••• T•••• | Member | E | yes | 04/2023 | May 30, 2023 | May 7, 2024 |
| $280M |
| $276M |
| 10 |
| 6 |
| 3 |
| n/a |
| n/a |
| 2024 | Mar 31, 2025 | $197M | $197M | 6 | 4 | 2 | n/a | n/a |
| 2023 | Mar 29, 2024 | $110M | $110M | 7 | 5 | 2 | n/a | n/a |
| 2022 | Mar 21, 2023 | $38.2M | $38.2M | 1 | 1 | 0 | n/a | n/a |
| 2021 | Mar 12, 2022 | $25.0M | $25.0M | 4 | 2 | 1 | n/a | n/a |