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A•••• S•••••• C••••••• 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

A•••• S•••••• C••••••• L••

CRD 300797

SCOTTSDALE, AZ

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Search this name across graphsid dfx:ria:76f8c893-686a-3d4c-4fc1-0005e35d5862

Data as of Jul 31, 2019 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Feb 15, 2019 to Jul 31, 2019
12 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: $3.1M••• Locked
Discretionary RAUM: $3.1M
Private client RAUM: $3.1Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $3.1Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
C••••• D•••• H•••••	n/a	SCOTTSDALE, AZ	7	12	2	no

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H•••••• C•••••• D••••	MANAGING MEMBER & CHIEF COMPLIANCE OFFICER	E	yes	02/2019	Feb 15, 2019	Jul 31, 2019

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

Relationships

Controls (1)

← H•••••• C•••••• D••••OwnerMANAGING MEMBER & CHIEF COMPLIANCE OFFICER, ownership code E, individual
Feb 15, 2019 to presentfactForm ADV

Registered with (2)

← C••••• D•••• H•••••Advisorregistration: current employment
Apr 22, 2019 to presentfactForm ADV
← RYAN PATRICK COSGROVEAdvisorregistration: previous registration
May 22, 2019 to Sep 6, 2019factForm ADV

Dated events

Occurred
Feb 15, 2019
First Form ADV filing
A•••• S•••••• C••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:76f8c893-686a-3d4c-4fc1-0005e35d5862
First observed: Feb 15, 2019
Last observed: Jul 31, 2019 87 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.