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 171096
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•••• G••••• M••••••••• | n/a | S••••SDALE, AZ | 5 | 10 | 1 | no |
| D••••• D••• V•••••• | n/a | FORT COLLINS, CO | S••••SDALE, AZ | 1 | 13 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| B••••• D••••• L•• | Member | E | yes | 12/2000 | Jun 3, 2014 | Dec 23, 2024 |
| B••••• D••••• L•• | DIRECTOR AND CHAIRMAN | C | yes | 12/2000 | Jun 3, 2014 | Dec 23, 2024 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2024 | Mar 28, 2025 |
| 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 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2024 | $0 | n/a | n/a | n/a | n/a | 8 | 8 | 0 | 0 |
| no |
| Director |
| Na |
| yes |
| 09/2016 |
| Mar 23, 2017 |
| Dec 23, 2024 |
| H•••• E•••••• S•••••• | Owner | E | yes | 04/2004 | Oct 28, 2014 | Dec 23, 2024 |
| M••••••••• S••••• G••••• | DIRECTOR (09/2016), CHIEF EXECUTIVE OFFICER (11/2019), AND CHIEF COMPLIANCE OFFICER (12/2023) | Na | yes | 05/2016 | Mar 23, 2017 | Dec 23, 2024 |
| W•• I••••••••• L•• | Member | C | yes | 12/2004 | Oct 28, 2014 | Dec 23, 2024 |
| A••••••• S••••• W•••••• | Member | A | no | 11/2002 | Oct 28, 2014 | Dec 23, 2024 |
| B••••••• K•••••••• | DIRECTOR AND MEMBER | Na | no | 08/2014 | Oct 28, 2014 | Dec 23, 2024 |
| B••••••••• K•••• | Member | A | no | 01/2021 | Mar 11, 2022 | Dec 23, 2024 |
| C••••• W••••••• W••• | Member | A | no | 05/2003 | Mar 29, 2016 | Dec 23, 2024 |
| W••••••• C••••• L•• | Member | A | no | 04/2004 | Oct 28, 2014 | Dec 23, 2024 |
| $0 |
| $0 |
| 8 |
| 7 |
| 0 |
| n/a |
| n/a |
| 2023 | Mar 18, 2024 | n/a | n/a | 8 | 7 | 0 | n/a | n/a |
| 2022 | Feb 22, 2023 | n/a | n/a | 11 | 11 | 0 | n/a | n/a |
| 2021 | Mar 11, 2022 | n/a | n/a | 14 | 11 | 0 | n/a | n/a |
| 2020 | Mar 1, 2021 | n/a | n/a | 16 | 12 | 0 | n/a | n/a |
| 2019 | Feb 21, 2020 | n/a | n/a | 21 | 18 | 0 | n/a | n/a |
| 2018 | Mar 18, 2019 | $5.2M | $5.2M | 16 | 9 | 1 | n/a | n/a |
| 2017 | Mar 1, 2018 | $5.8M | $5.8M | 24 | 18 | 0 | n/a | n/a |
| 2016 | Mar 23, 2017 | $4.5M | $4.5M | 21 | 13 | n/a | n/a | n/a |
| 2015 | Mar 29, 2016 | n/a | n/a | 23 | 13 | n/a | n/a | n/a |
| 2014 | Mar 25, 2015 | n/a | n/a | 22 | 14 | n/a | n/a | n/a |