DFX Intelligence

S••••••• S•••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 100m 1b

S••••••• S•••••

S••••••• S••••• & COMPANY, CRD 109228

WEST DES MOINES, IA

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Data as of Jul 13, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 12:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 33
Dated events: 13
On other graphs: 0
Observed: Feb 2, 2012 to Jul 13, 2026
66 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: independent wealth managerderivedprivate_client_share=0.96 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $911M••• Locked
Discretionary RAUM: $765M
Private client RAUM: $870Mderived••• Locked
Private client share: 96%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 14
RAUM per advisor: $65.1Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J••••• D•••• S•••••••	Certified Financial Planner\|Chartered Financial Consultant	WEST DES MOINES, IA	27	44	n/a	no
T•• A••••• R•••••••	Certified Financial Planner	WEST DES MOINES, IA	15	26

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G•••••• M•••••••	S••••••• S••••• DIRECTOR OF FINANCE AND ADMINISTRATION	Na	yes	10/2018	Jan 22, 2021	Sep 23, 2024
G•••••• J••••• L••	S••••••• S••••• CHIEF INVESTMENT OFFICER	Na	yes	10/2018	Jan 22, 2021	Sep 23, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
2	1	1	7.1%	1	0	0	3	4

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$911M	$900M	1.2%	$666M	11.0%	15	15	0	0

Relationships

Registered with (24)

← K•••• J•••• M•••••Advisorregistration: current employment
Jul 13, 2026 to presentfactForm ADV
← T••••• R••• S••••••Advisorregistration: current employment
May 19, 2026 to presentfactForm ADV
← T••••• M•••• B••••••Advisorregistration: current employment
May 1, 2026 to presentfactForm ADV
← C•••••• J••• P•••••••

Dated events

1 bookkeeping event (roster, classification and holdings changes) folded below

Order

Occurred
13 Jul 2026
Ria principal change
••• Locked
Form ADV
Occurred
13 Jul 2026
Ria indirect owner change4 events
S••••••• S•••••: ria indirect owner change, 4 events, on 13 Jul 2026
- ••• Locked
- ••• Locked
- ••• Locked
Occurred
23 Jan 2026
Advisor changed firm
••• Locked
Form ADV
Occurred
28 Aug 2025
Advisor changed firm
••• Locked
Form ADV
Occurred
15 Aug 2025
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 2, 2012
Last observed: Jul 13, 2026 2 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.

All 14 rows

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
C•••••• J••• P•••••••	Certified Financial Planner	WEST DES MOINES, IA	1	11	n/a	no
T••••• M•••• B••••••	Certified Financial Planner	WEST DES MOINES, IA	0	11	n/a	no
T••••• R••• S••••••	Certified Financial Planner	WEST DES MOINES, IA	0	14	2	no
K•••• J•••• M•••••	Chartered Financial Analyst	WEST DES MOINES, IA	0	20	1	no

All 15 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Jan 13, 2016	$377M	$377M	12	12	n/a	n/a	n/a
2014	Jan 13, 2015	$378M	$378M	12	12	n/a	n/a	n/a
2013	Feb 26, 2014	$364M	$364M	10	10	n/a	n/a	n/a
2012	Feb 26, 2013	$341M	$341M	10	10	n/a	n/a	n/a
2011	Feb 2, 2012	$285M	$285M	n/a	n/a	n/a	n/a	n/a