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CRD 169566
S••••SDALE, 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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| J••• K•••••• H•••••• | n/a | S••••SDALE, AZ | 12 | 14 | 4 | no |
| E••••• M••••• P•••• | n/a | Tampa, FL | S••••SDALE, AZ | 10 | 44 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| G•• I••••••••• T•••• | Partner | D | yes | 01/2012 | Feb 10, 2016 | Apr 10, 2024 |
| H••••••• J•••• K•••••• | CHIEF INVESTMENT OFFICER | Na | yes | 10/2013 | Feb 10, 2016 | Apr 10, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| W••••••••• L••• L•• | n/a | n/a | n/a | N | yes | n/a |
| W• T•• A••••••••• L•• | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Flagstaff | Az | United States | 7 | no |
| JACKSON HOLE | Wy | United States | 0 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 |
| 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 | 3 | 4 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $419M | $385M | 8.8% | $265M | 16.5% | 16 | 18 | 3 | 4 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| W•••••• A••••••• | 2 | Sep 2, 2025 | Aug 11, 2025 | S••••SDALE, AZ | Team lift out | RIA to state RIA | 13.3% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| T••• F•••••••• W••••• M••••••••• F••• L•• | 2 | Nov 12, 2020 | Feb 19, 2016 | SEDONA, AZ | Team lift out | Other | 100.0% |
| F••• P•••• W••••• M••••••••• L•• | 5 | Mar 16, 2018 |
| no |
| R••••• F• R•••••• | n/a | Tampa, FL | S••••SDALE, AZ | 10 | 24 | 3 | no |
| G•••• J••••• L•••• | n/a | S••••SDALE, AZ | Flagstaff, AZ | 8 | 12 | 2 | no |
| A•••• B•••• A••••• | n/a | S••••SDALE, AZ | Flagstaff, AZ | 8 | 19 | 1 | no |
| E•• A•••••• T••• | Certified Financial Planner | S••••SDALE, AZ | Flagstaff, AZ | 8 | 15 | 1 | no |
| J•••••• S•••• R••••• | n/a | S••••SDALE, AZ | 6 | 11 | n/a | no |
| K•••• S•••• P••••••• | n/a | Provo, UT | S••••SDALE, AZ | 6 | 25 | 1 | no |
| B•••• L• R••••• | n/a | S••••SDALE, AZ | Wayne, NE | 5 | 11 | 2 | no |
| A••••• R••••• | n/a | S••••SDALE, AZ | Las Vegas, NV | 4 | 10 | n/a | no |
| J•••• R•••••• W••• | n/a | Sandy, UT | S••••SDALE, AZ | 3 | 13 | n/a | no |
| T••••• C•••••• S•••••• | n/a | S••••sdale, AZ | S••••SDALE, AZ | 2 | 29 | 3 | no |
| L•••• D•••• L••••••• | n/a | Flagstaff, AZ | S••••SDALE, AZ | 0 | 18 | n/a | no |
| CHIEF COMPLIANCE OFFICER |
| Na |
| yes |
| 06/2018 |
| Jun 25, 2018 |
| Apr 10, 2024 |
| R•••• I••••••••• L••• | SOLE MEMBER/OWNER | E | yes | 01/2012 | Feb 10, 2016 | Apr 10, 2024 |
| R•••••• G•• S•••• | GENERAL PARTNER | F | yes | 02/1995 | Feb 10, 2016 | Apr 10, 2024 |
| R•••••• K••••• A•• | Trustee | F | yes | 01/2012 | Feb 10, 2016 | Apr 10, 2024 |
| W••••••••• L• | Owner | E | yes | 10/2013 | Feb 10, 2016 | Apr 10, 2024 |
| W• C•••••• V•••••••• L•• | GENERAL PARTNER | F | yes | 01/2012 | Feb 10, 2016 | Apr 10, 2024 |
| $419M |
| $406M |
| 16 |
| 13 |
| 3 |
| n/a |
| n/a |
| 2024 | Mar 31, 2025 | $385M | $377M | 18 | 15 | 4 | n/a | n/a |
| 2023 | Mar 27, 2024 | $311M | $301M | 19 | 15 | 2 | n/a | n/a |
| 2022 | Mar 30, 2023 | $265M | $253M | 14 | 12 | 2 | n/a | n/a |
| 2021 | Mar 25, 2022 | $329M | $312M | 14 | 12 | 2 | n/a | n/a |
| 2020 | Mar 25, 2021 | $279M | $263M | 14 | 12 | 2 | n/a | n/a |
| 2019 | Mar 30, 2020 | $180M | $169M | 13 | 11 | 3 | n/a | n/a |
| 2018 | Mar 27, 2019 | $139M | $136M | 13 | 11 | 3 | n/a | n/a |
| 2017 | Mar 26, 2018 | $128M | $121M | 12 | 12 | 3 | n/a | n/a |
| FLAGSTAFF, AZ |
| Firm absorbed |
| Other |
| 100.0% |