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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

M•••• F•••••••• A•••••••• I••

CRD 127586

LINCOLN, NE

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Search this name across graphsid dfx:ria:8e305d47-f95a-4225-2dce-fee39cf72b37

Data as of Feb 3, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Dec 22, 2011 to Feb 3, 2012
4 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: $27.7M••• Locked
Discretionary RAUM: $27.7M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $13.8Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
O••• T••••• S••••••	n/a	MCKINNEY, TX	22	34	n/a	no
O••• T••••• S••••••	Certified Financial Planner	MCKINNEY, TX	9	13

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S•••••• M•••• D••••	CHIEF COMPLIANCE OFFICER/VP PORT MNGR	Na	yes	12/2001	Dec 22, 2011	Feb 3, 2012
S••••••• O•••• T•••••	President	E	yes	01/2000	Dec 22, 2011	Feb 3, 2012

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M•••• F•••••••• C•••••••• I•••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Lincoln	Ne	United States	n/a	no
Greenville	Sc	United States	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Jan 20, 2012	$27.7M	$27.7M	n/a	n/a	n/a	n/a	n/a

Advisor flows

••• Locked

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	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$27.7M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Registered with (6)

← O••• T••••• S••••••Advisorregistration: current employment
Jan 6, 2017 to presentfactForm ADV
← O••• T••••• S••••••Advisorregistration: current employment
Oct 13, 2003 to presentfactForm ADV
← JOHN EDWARD PESANOAdvisorregistration: previous registration
Feb 7, 2014 to Oct 27, 2014factForm ADV
← LAWRENCE CHARLES ROMJUE

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8e305d47-f95a-4225-2dce-fee39cf72b37
First observed: Dec 22, 2011
Last observed: Feb 3, 2012 178 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.