DFX Intelligence

W•••••• I••••••••• M••••••••• S•••••••• 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

W•••••• I••••••••• M••••••••• S•••••••• L••

CRD 166772

CHEYENNE, WY

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Data as of Nov 19, 2014 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Feb 12, 2014 to Nov 19, 2014
2 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: $79.4M••• Locked
Discretionary RAUM: $79.4M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 1
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S••••••• C••••• M••••••	ELECTED MANAGER, CCO	Na	yes	12/2012	Feb 12, 2014	Nov 19, 2014
W•••••• J•• A••••• W•••••	Member	E	yes	12/2012	Feb 12, 2014	Nov 19, 2014

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
W•••• S••••••• G•••• L••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2013	Feb 12, 2014	$70.9M	$70.9M	1	1	n/a	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2013	$79.4M	n/a	n/a	n/a	n/a	1	n/a	n/a	n/a

Relationships

Controls (3)

← S••••••• C••••• M••••••OwnerELECTED MANAGER, CCO, ownership code NA, individual
Feb 12, 2014 to presentfactForm ADV
← W•••••• J•• A••••• W•••••OwnerMEMBER, ownership code E, individual
Feb 12, 2014 to presentfactForm ADV
← W•••• S••••••• G•••• L••OwnerMEMBER, ownership code E, domestic entity
Feb 12, 2014 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 12, 2014
Last observed: Nov 19, 2014 144 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.