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G••••• W••••• M••••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserbroker-dealer affiliated wealth managerSEC registeredRAUM 1b 10b

G••••• W••••• M••••••••• I•••

CRD 120894

ENGLEWOOD, CO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:8adf872e-d883-b5ca-2501-078f342369e7

Data as of Apr 10, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 420
Dated events: 40
On other graphs: 2
Observed: Mar 31, 2012 to Apr 10, 2026
34 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

G••••• W••••• M••••••••• I•••

Intermediary · shared crd

Venture Capitalidentity

G••••• W••••• M••••••••• I•••

Venture manager · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: broker-dealer affiliated wealth managerderivedprivate_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=true related_bank=false bd_reps=200.0
Regulatory AUM: $9.2BItem 5.F on the latest filing (2026-04-10); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $9.2B
Private client RAUM: $9.0BderivedItem 5.D individuals plus high net worth individuals
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 192
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first; showing 25 of 185

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
Q•••••• M••••• M••••	n/a	BELLAIRE, TX	23	39	1	yes
C•••••• R••• L••	n/a	AUSTIN, MN \| Laguna Beach, CA	23

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••••• J•••• M••	PRESIDENT & CHIEF COMPLIANCE OFFICER	Na	yes	06/2002	Apr 10, 2026	Apr 10, 2026
D••••••• R•••••• R••••	Director	Na	yes	04/2002	Apr 10, 2026

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Roanoke	Va	United States	8	yes
Douglassville	Pa	United States	6	yes
Radford	Va	United States	6	yes
Scottsdale	Az	United States	5	yes
Addison	TX

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 15 of 17

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

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
5	6	-1	3.1%	0	0	0	19	17

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$9.2B	$5.6B	64.7%	$4.1B	31.2%	200	200	113	113

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
D••••••••• L••	3	Dec 2, 2025	Dec 1, 2025	WEXFORD, PA	Team lift out	Ibd to RIA	1.6%
L•• F•••••••• L••	2	Sep 13, 2024

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
P••••• C•••••• M••••••••• I•••	3	Jun 30, 2025	May 29, 2025	ROCKPORT, TX	Firm absorbed	Other	100.0%
A••••••• • A••••••• A•••••••• L••	3	Mar 31, 2025

Relationships

showing 80 of 420

Registered with (79)

← Christie Anna ThomasAdvisorregistration: current employment
Jun 2, 2026 to presentfactForm ADV
← PRESTON A PRICEAdvisorregistration: current employment
Jun 2, 2026 to presentfactForm ADV
← SHARON ANN GASPARAdvisorregistration: current employment
Apr 27, 2026 to presentfactForm ADV
← AMY BETH MACEDO

Dated events

3 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
May 4, 2026
Advisor changed firm
Mark Leon Magruder left G••••• W••••• M••••••••• I••• for Creative Financial Designs, Inc. (registered 2026-04-30)
Form ADVobserved 7 days ago
Occurred
May 4, 2026
Advisor changed firm
Angel Luis Sotomayor left G••••• W••••• M••••••••• I••• for Creative Financial Designs, Inc. (registered 2026-04-30)
Form ADVobserved 7 days ago
Occurred
Apr 27, 2026
Advisor changed firm
Thomas Capstick left G••••• W••••• M••••••••• I••• for Morgan Stanley (registered 2026-05-14)
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8adf872e-d883-b5ca-2501-078f342369e7
First observed: Mar 31, 2012
Last observed: Apr 10, 2026 5 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.

2025	Apr 10, 2026	$9.2B	$9.2B	200	200	113	n/a	n/a
2024	Mar 14, 2025	$5.6B	$5.6B	200	200	113	n/a	n/a
2023	Mar 26, 2024	$5.2B	$5.2B	200	200	116	n/a	n/a
2022	Mar 24, 2023	$4.1B	$4.1B	200	200	114	n/a	n/a
2021	Feb 2, 2022	$5.1B	$5.1B	210	210	114	n/a	n/a
2020	Mar 30, 2021	$4.3B	$4.3B	210	210	114	n/a	n/a
2019	Mar 31, 2020	$4.1B	$4.1B	220	220	123	n/a	n/a
2018	Mar 26, 2019	$3.3B	$3.3B	230	230	133	n/a	n/a
2017	Mar 29, 2018	$3.4B	$3.4B	250	250	133	n/a	n/a
2016	Mar 29, 2017	$2.1B	$2.1B	250	250	n/a	n/a	n/a
2015	Mar 30, 2016	$2.0B	$2.0B	230	230	n/a	n/a	n/a
2014	Mar 30, 2015	$1.9B	$1.9B	230	230	n/a	n/a	n/a
2013	Mar 25, 2014	$1.7B	$1.7B	230	230	n/a	n/a	n/a
2012	Mar 27, 2013	$1.1B	$1.1B	210	210	n/a	n/a	n/a
2011	Mar 31, 2012	$771M	$769M	n/a	n/a	n/a	n/a	n/a