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CRD 287909
PHOENIX, AZ
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.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| F••••• M••••••• B•••• | MANAGING MEMBER | C | yes | 04/2017 | Apr 28, 2017 | Mar 31, 2023 |
| M••••• D••••• E•••• | MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER | B | yes | 04/2017 | Apr 28, 2017 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| F•••• • A••••••••• L•• | n/a | n/a | n/a | N | yes | n/a |
| H••••••• I•••••••• A•••••••• L•• | n/a | n/a | n/a | N | yes | n/a |
| H•• C•••••••• P••••• A••••••••• L•• |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| SOLANA BEACH | CA | United States | 3 | no |
| Phoenix | Az | United States | 1 | no |
| Amarillo | TX | United States | 1 | no |
| Plano | TX | United States | 1 | no |
| n/a | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2022 | $545M | $591M | -7.7% | $206M | 38.2% | 28 | 28 | 5 | 5 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| H••••••• F••••• O••••••• L•• | 4 | Mar 5, 2024 | Jun 12, 2024 | PHOENIX, AZ | Firm absorbed | Other | 66.7% |
| J••••••• W••••• S••••••••• L•• | 2 | Dec 14, 2018 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| E•••• I••••••••• T••• L•• | 2 | Dec 31, 2020 | Mar 26, 2020 | SAN DIEGO, CA | T•••_LIFT_OUT | RIA to RIA | 14.3% |
| J••••••• W••••• S••••••••• L•• | 2 | Nov 16, 2018 |
| Mar 31, 2023 |
| N•••••• R••••• E•••• | MANAGING MEMBER | C | yes | 04/2017 | Apr 28, 2017 | Mar 31, 2023 |
| n/a |
| n/a |
| N |
| yes |
| n/a |
| H•• L••• L•• | n/a | n/a | n/a | N | yes | n/a |
| n/a |
| 1 |
| no |
| Mar 31, 2023 |
| $545M |
| $545M |
| 28 |
| 18 |
| 5 |
| n/a |
| n/a |
| 2021 | Mar 15, 2022 | $591M | $591M | 28 | 18 | 5 | n/a | n/a |
| 2020 | Mar 31, 2021 | $383M | $383M | 27 | 18 | 3 | n/a | n/a |
| 2019 | Mar 26, 2020 | $206M | $206M | 16 | 6 | 3 | n/a | n/a |
| 2018 | Mar 20, 2019 | $154M | $154M | 8 | 5 | 0 | n/a | n/a |
| 2017 | Mar 27, 2018 | $182M | $182M | 11 | 7 | 2 | n/a | n/a |
| Sep 21, 2018 |
| PHOENIX, AZ |
| T•••_LIFT_OUT |
| RIA to RIA |
| 22.2% |
| SCOTTSDALE, AZ |
| T•••_LIFT_OUT |
| RIA to RIA |
| 33.3% |
| H••••••• W••••• M••••••••• L•• | 7 | Aug 18, 2017 | Jul 24, 2017 | PHOENIX, AZ | Firm absorbed | Other | 100.0% |