DFX Intelligence

M••• B•••• W••••• A•••••••• 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

M••• B•••• W••••• A•••••••• L•••••

CRD 150357

SCOTTSDALE, AZ

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Search this name across graphsid dfx:ria:73c662a8-a18e-009b-0b3e-eacb91ceb88d

Data as of Mar 2, 2015 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Feb 23, 2012 to Mar 2, 2015
5 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: $216M••• Locked
Discretionary RAUM: $207M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••••• L•••• A••	Shareholder	C	yes	04/2009	Feb 23, 2012	Mar 2, 2015
M•••• W••••••• D•••••	SHAREHOLDER AND CHIEF COMPLIANCE OFFICER	D	yes	04/2009	Feb 23, 2012	Mar 2, 2015

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Mar 2, 2015

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	$216M	$198M	9.1%	$159M	10.7%	2	4	n/a	n/a

Relationships

Controls (2)

← M•••• W••••••• D•••••OwnerSHAREHOLDER AND CHIEF COMPLIANCE OFFICER, ownership code D, individual
Feb 23, 2012 to presentfactForm ADV
← B••••••••• L•••• A••OwnerSHAREHOLDER, ownership code C, individual
Feb 23, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:73c662a8-a18e-009b-0b3e-eacb91ceb88d
First observed: Feb 23, 2012
Last observed: Mar 2, 2015 140 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.