DFX Intelligence
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
CRD 322879
DALLAS, TX
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 |
|---|---|---|---|---|---|---|
| J••••••• M••••• L••••• | n/a | Lehi, UT | DALLAS, TX | 4 | 26 | 3 | no |
| S•••••• A•••• K••••• | n/a | NEWPORT BEACH, CA | DALLAS, TX | 4 | 17 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| A••••••• O••••••••• L•• | Owner | E | yes | 08/2025 | Jul 13, 2026 | Jul 13, 2026 |
| J••••••••• P••••••• M•••••• | Director | Na | yes | 03/2018 | Jul 13, 2026 | Jul 13, 2026 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| G••••• S•••• W••••• M••••••••• L•• | n/a | I•••••••••_WEALTH | $2.2B | N | yes | n/a |
| R•••••• I••••••••• G••••• I•• | n/a | I•••••••••_WEALTH | $230M | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| PARK RAPIDS | Mn | United States | 7 | no |
| Bemidji | Mn | United States | 4 | no |
| Bemidji | Mn | United States | 3 | no |
| Anchorage | Ak | United States | 1 | no |
| Encinitas | CA | United States |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 20 | 1 | 19 | 2.1% | 1 | 1 | 0 | 29 | 5 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $2.1B | $880M | 137.9% | $480M | 63.5% | 43 | 26 | 28 | 19 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| O•• P••••••• | 2 | Jan 5, 2026 | Jan 8, 2026 | TORRANCE, CA | Team lift out | RIA to RIA | 10.0% |
| O•• P••••••• | 2 | Jan 5, 2026 | Jan 8, 2026 |
| no |
| L•• B••••• J•••• | n/a | DALLAS, TX | IRVINE, CA | Irvine, CA | 4 | 23 | 8 | no |
| M•••• D•••• P••••• | Certified Financial Planner | DALLAS, TX | YUCCA VALLEY, CA | 4 | 22 | 3 | no |
| T••• A•••• S•••••••• | n/a | DALLAS, TX | Southlake, TX | Laguna Niguel, CA | 4 | 15 | 5 | no |
| T•••••• J••• D••• | n/a | DALLAS, TX | TROY, MI | 4 | 11 | 3 | no |
| W•••••• D••• B••••• | n/a | Las Cruces, NM | DALLAS, TX | 4 | 29 | 4 | no |
| N••••• G•••••• E••••••• | n/a | DALLAS, TX | Las Cruces, NM | Deming, NM | 4 | 10 | 2 | no |
| K•••• A••• Y•••• | Chartered Financial Consultant | NORTH BEND, WA | DALLAS, TX | 4 | 21 | 4 | no |
| G••• L•• R•••••• | Certified Financial Planner | BEMIDJI, MN | Park Rapids, MN | DALLAS, TX | 3 | 25 | 1 | no |
| B••••••• J•••• M••••••• | Certified Financial Planner | Lehi, UT | DALLAS, TX | 3 | 19 | 9 | no |
| M••• E• A••••• | n/a | Lafayette, CA | DALLAS, TX | 2 | 13 | 2 | no |
| D•••• M•••• G•••••••• | n/a | DALLAS, TX | Grand Rapids, MN | 2 | 11 | 2 | no |
| S•••••• D••• L•• | n/a | Park Rapids, MN | BEMIDJI, MN | DALLAS, TX | 2 | 18 | 1 | no |
| N•••• A• M•••••• | n/a | Bemidji, MN | Park Rapids, MN | DALLAS, TX | 2 | 10 | 1 | no |
| H•••••• M•• R•••••• B•••••••• | n/a | BEMIDJI, MN | DALLAS, TX | Park Rapids, MN | 2 | 12 | n/a | no |
| A•••• W• L••••••••• | n/a | Richmond, UT | DALLAS, TX | 1 | 33 | 4 | no |
| J••••• V••••• P•••••• | Certified Financial Planner | DALLAS, TX | NEWPORT BEACH, CA | 1 | 11 | 2 | no |
| J••• R••••• Y•••• | n/a | DALLAS, TX | Boulder, CO | 1 | 25 | 2 | no |
| E•••••••• C•••••••• D• M••• | n/a | Newport Beach, CA | DALLAS, TX | 1 | 13 | 4 | no |
| C••••• M••••••••• L••••••• | Certified Financial Planner | Osprey, FL | DALLAS, TX | 0 | 13 | 3 | no |
| T•••••• D••• G••••••• | n/a | Seattle, WA | DALLAS, TX | 0 | 42 | 4 | no |
| S•••• A•••••• B•••• | n/a | DALLAS, TX | Torrance, CA | 0 | 26 | 4 | no |
| J••• D••••• H••••• | n/a | Greenville, SC | DALLAS, TX | 0 | 28 | 4 | yes |
| J••••• A•••••• K••••• | n/a | Denver, CO | DALLAS, TX | 0 | 23 | 2 | no |
| Ceo |
| Na |
| yes |
| 11/2017 |
| Jul 13, 2026 |
| Jul 13, 2026 |
| C•••••• D•••••• R••••• | MANAGING MEMBER | C | yes | 03/2018 | Jul 25, 2022 | Aug 8, 2024 |
| B•••••• C••••••••• G•••••• | Director | Na | no | 01/2026 | Jul 13, 2026 | Jul 13, 2026 |
| R•••••••• M••••••• M••• | CHIEF COMPLIANCE OFFICER | Na | no | 08/2025 | Jul 13, 2026 | Jul 13, 2026 |
| G••••• S•••• A•••• M••••••••• L•• | n/a | No RAUM reported | $0 | N | yes | n/a |
| no |
| Lafayette | CA | United States | 1 | no |
| NEWPORT BEACH | CA | United States | 1 | no |
| SAN DIEGO | CA | United States | 1 | yes |
| YUCCA VALLEY | CA | United States | 1 | no |
| Troy | Mi | United States | 1 | no |
| LAS CRUCES | Nm | United States | 1 | no |
| LAS CRUCES | Nm | United States | 1 | no |
| Southlake | TX | United States | 1 | no |
| Lehi | Ut | United States | 1 | no |
| Lehi | Ut | United States | 1 | no |
| NORTH BEND | Wa | United States | 1 | no |
| Powell | Wy | United States | 1 | no |
| n/a | n/a | n/a | 1 | no |
| $2.1B |
| $2.0B |
| 43 |
| 39 |
| 28 |
| n/a |
| n/a |
| 2024 | Apr 11, 2025 | $880M | $880M | 26 | 24 | 19 | n/a | n/a |
| 2023 | Mar 21, 2024 | $744M | $744M | 25 | 24 | 20 | n/a | n/a |
| 2022 | Mar 30, 2023 | $480M | $480M | 31 | 21 | 14 | n/a | n/a |
| 2021 | Sep 19, 2022 | $405M | $405M | 24 | 16 | 12 | n/a | n/a |
| SCHAUMBURG, IL |
| Team lift out |
| RIA to RIA |
| 10.0% |
| O•• P••••••• | 7 | Jan 5, 2026 | Jan 9, 2026 | DALLAS, TX | Team lift out | RIA to RIA | 35.0% |
| A••••••••• F•••••••• S•••••••• L•• | 4 | Feb 2, 2023 | Feb 1, 2024 | BEMIDJI, MN | Team lift out | Ibd to RIA | 0.0% |
| G••••• S•••• E••••• A•••••••• L•• | 12 | Sep 20, 2022 | Jan 1, 2025 | SOUTH COAST METRO, CA | Firm absorbed | RIA to RIA | 66.7% |